Senior Audit Manager

About Our Company We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer.

Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and River Source Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Job Description Ameriprise Financial is looking to add a Senior Audit Manager to the team! The individual in this role will plan and execute complex portions of the Risk & Control Services plan, including concurrent audit and SOX/MAR/FDICIA compliance activities and presenting objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes.

May act as a project lead on audits or other Risk and Control Services activities. Supervise and lead projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of work.

Key Responsibilities Plan and execute complex portions of the Risk & Control Services plan including audit activities and SOX/MAR/FDICIA compliance activities. Present work objectives and results to various levels of management that focus on the impact of control deficiencies. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes.

Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations. Monitor and validate Management Action Plan status. Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.

Supervise and lead assigned projects. Provide leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work.

Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines. Coordinate with the appropriate control groups in planning and executing assigned work. Ensure work is completed within established timelines.

Complete risk assessments in conformance with department standards, generally in complex areas. Recommend changes to Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.

Required Qualifications Bachelors degree5+ years of experience

Experience with leading multiple projects

Expanded knowledge/understanding across multiple lines of business and/or develop knowledge/understanding in critical subject matter area Ability to transfer knowledge and assist others to expand audit skills and business knowledge

Ability to coordinate with appropriate control groups in planning and executing assigned work Solid knowledge and proper application of control and audit theory

Preferred Qualifications Finance or Accounting degree

Certifications in CIA, CISA, CPA, CFSAFinancial Services experience

In-Office Collaboration We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week.

Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Visa Sponsorship Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).Base Pay Salary The estimated base salary for this role is $122,400 - $168,300/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on…