Sr Risk Manager Retirement, Insurance & Annuities

In this role, you will provide business unit compliance and risk oversight within specific business line(s) to ensure that compliance and risk policies and procedures are fully implemented. You'll support communications review for Ameriprise Marketing, including advising business partners on advertising requirements, policies and procedures for the firm and our regulatory agencies, along with reviewing communications and final approval. This also includes acting as a liaison to the General Counsel Office (GCO) Compliance area and segment Operational Risk groups and managing business needs such as risk management, business continuity planning, vendor management, reporting, audits, etc.

Key Responsibilities

• Support communications review for Ameriprise Marketing, including advising business partners on advertising requirements, policies and procedures for the firm and our regulatory agencies, along with reviewing communications and final approval. 

• Research high-complexity issues, gather and track related information, serve as a “go to” person for team members related to the review, and make recommendations, as appropriate. Guide business leaders regarding potential changes.

• Work with business partners and senior leaders to implement business policies and/or procedures.  

• Understand applicable laws and regulations, analyze their effect on business practices, and work with the General Counsel Office Compliance Department and Operational Risk areas as needed to clarify requirements and address related issues. 

• Maintain current knowledge of industry practices and developments. Escalate issues and maintain records, as required or appropriate. Take action within authority or review with leader/GCO Compliance/Operational Risk groups prior to taking action.

• Serve as an expert resource on assigned subjects, provide support to assigned business lines, act as a key resource and “go to” person for business partners, and influence appropriate business partners and leaders with respect to key business initiatives. Spot trends and influence change.

• May provide mentoring to others and/or leadership to direct reports including coaching, development, and performance management.

• Work with and support the GCO during regulatory exams and inquiries.  -Participate in Operational Risk activities, as requested. 

• Manage business needs such as risk management, business continuity planning, vendor management, reporting, audits, etc.

Required Qualifications

• 7-10 years' relevant experience

• FINRA Series 7 or ability to obtain within 150 days

• FINRA Series 24 or ability to obtain within 150 days

 
Preferred Qualifications

• Knowledge of Ameriprise products or services, or the ability to quickly learn them.

• Understanding of the regulations and laws that impact the assigned line of business. 

• Analytical, problem-solving, and synthesizing skills, with the ability to find the right solutions.

• Strong Microsoft Excel skills.

• Communication skills that enable collaboration amongst all business lines and various levels of seniority to achieve results and reduce risk.

• Ability to work in a fast-paced environment with a need to manage multiple deliverables.

• Attentive to detail.

• Creative problem-solving skills.

• Strong relationship building skills.

• Self-starter, ability to proactively identify potential issues and propose solutions.

• Focus on personal development and teamwork.

• Ability to lead up and across to business partners and other Marketing colleagues.

• Experience collaborating across different business lines.

 

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 $91,600 - $123,700 / year. We have a pay-for-performance c