Senior Regional Risk Manager

Senior Regional Risk Manager Location Hybrid work in Charlotte, NC : Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs).

:

• Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance.

• Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision.

• Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the Group Vice President.

• Communicate, advise, and guide regional leadership on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk. Engage corporate office partners to address risk.

• Develop effective oversight systems and processes to prioritize and address areas of highest risk.

• Lead implementation and drive uptake of new supervisory policies, tools, and systems.

• Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the Group Vice President.

• Train new and existing field leaders, RPs, RRPs and RP delegates. Assess, address, and document the readiness of existing Field RPs to perform the six key responsibilities of ongoing, risk-based supervision.

• Partner with Group Vice President and VP Planning & Administration to implement a Process Management Process for RPs who are not meeting minimum expectations of the role, as necessary or appropriate.

• Act as Strategic Business Partner to field leaders, corporate partners, and Financial Institution partners.

• Assess, create, or modify policies and processes to align with the AFIG channel.

Required Qualifications:

• Bachelor's degree or equivalent.

• 7-10 years of relevant experience.

• Active FINRA Series 7.

• Active FINRA Series 24.

• Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days.

• Active State IAR registration (S65 or S66) or ability to obtain within 150 days.

• Strong knowledge of financial services industry products, services, and financial planning.

• Strong knowledge of Broker/Dealer regulatory issues, Ameriprise's hybrid model, supervisory policies, procedures, and systems.

• Effective personal presence and the ability to influence through training and personal interactions.

• Demonstrated effective analytical, diagnostic, investigative, and problem-solving skills.

• Strong oral and written communication skills demonstrated conflict management and collaborative skills, and ability to lead.

• Ability to manage multiple and complex tasks.

• Ability to travel 25-50% depending on territory size, numbers of RPs, and need for on-site oversight.

• Ability to work from Ameriprise Office

Preferred Qualifications:

• Experience with Ameriprise supervision and compliance and financial institution investment program business.

• Demonstrated ability to use technology and tools to gain efficiencies and speed.

• Self-motivated with the ability to achieve results in an independent environment, aptitude, and comfort with technology.

About Our Company We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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 $88,300 - $152,300 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Business Support & Operations

Line of Business

AFIG Ameriprise Financial Institutions Group