Director Output Processing

In this role, you will be accountable for the overall quality, accuracy, and timely distribution of multiple client documents that are distributed on both a defined schedule (such as account statements or tax) and ad hoc distributions. You will also be responsible for thorough testing and validation of processes and outputs; providing timely communication to internal partners, advisors and/or clients on identified issues. You will provide effective leadership to direct reports, and collaborate and partner with risk management, marketing, technology and compliance teams to identify process improvement opportunities. Additionally, you'll manage WSPs and SLA's, ensuring strong audit controls are being met.

Key Responsibilities

• Manage, test and deliver quality client output, including but not limited to account statements, confirms, checks, etc.
• Work with auditors (Internal Audit, Compliance, external auditors) to pull requested data, assist with their analysis, and prepare responses
• Conduct daily, weekly and monthly WSPs and perform assessment of KPI's and SLA's, ensuring audit controls are being met. Act as a point of escalation for incidents and REV's, working with senior management to remediate in a timely manner
• Provide effective leadership to direct reports, including performance management practices through individual performance plans, annual reviews, regular one on one meetings and feedback sessions, ongoing coaching and development
• Work to improve processes and ensure adequate internal/external procedures are established and adhered to, making enhancements to improve productivity, quality, and cost
• Responsible for the successful testing and execution of the annual tax process
• Demonstrate expertise in leading and/or facilitating projects & Ad Hoc tasks, including (but not limited to) complex account research, implementations, drafting and adhering to testing protocols, enhancements, improvements, and participating in industry committees
• Proactively identify opportunities to enhance risk management practices, championing continuous improvement and fostering a culture of accountability

Required Qualifications

• 7 to 10 years' experience in Financial Services
• Bachelor's degree or equivalent
• Active Series 7 or ability to obtain within 120 days
• Active Series 24 or ability to obtain within 120 days

Preferred Qualifications

• In-depth knowledge of business operations and processes with ability to articulate these processes to others
• Experienced in driving process/asset changes and initiatives
• Experience leading presentations at meetings
• Demonstrated enthusiasm for learning and developing creative solution
• Experience working in Service Delivery supporting various product lines and communicating with clients and advisors
• Demonstrated leadership skills with the ability to lead up, down and across the organization, influence without authority
• Strong negotiation skills
• Strong analytical and problem-solving skills
• Excellent communication and facilitation skills; demonstrated ability to clearly and persuasively communicate ideas, issues and recommendations to senior leadership
• Extensive knowledge of company products and services
• Possess high degree of initiative, self-motivation, organizational, problem-solving skills, and conflict management skills
• Solid stakeholder management skills
• Ability to work in a multi-tasked and rapidly changing environment and be highly flexible and adaptive to change
• Ability to effectively manage external vendor partners
• Demonstrable knowledge of key asset management processes

#S&O

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 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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 RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Base Pay Salary

The estimated base salary for this role is $120,000 - $162,000 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, an