Sr Director, Business Unit Risk and Compliance Liaison -Wealth Management

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 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.

Job Description

The Senior Director, Business Unit Compliance Liaison is responsible for leading the centralized risk team for Wealth Management Solutions, with a focus on regulatory reporting, controls, committee governance, risk program coordination, policy oversight, and risk routines. The position will be available to candidates in Minneapolis MN and Charlotte NC.

Key Responsibilities

Provide direct oversight of governance, risk, and control functions to ensure controls are designed and operating effectively to mitigate operational, financial, regulatory, and compliance risk

Oversee regulatory reporting, control functions, reporting dashboards, general ledger reconciliations, and related reporting processes

Lead governance routines and committee coordination, including product, business review, risk, conflicts, and Regulation Best Interest governance forums

Own and coordinate key governance processes, including risk program meetings, regulatory budget management, requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment oversight, testing coordination, and annual risk assessments

Oversee policy, procedure, and supervisory control governance, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, communications with the public, outside business activity tracking, business continuity planning, and self-monitoring routines

Coordinate internal and external audit activities, regulatory affairs requests, vendor risk oversight, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance

Act as a primary liaison with business partners, Internal Audit, Compliance, Legal, and regulators, including participation in industry advocacy efforts

Identify control gaps and deficiencies, assess risk exposure and materiality, and implement cost-effective remediation strategies

Build strong partnerships with senior leaders across Wealth Management Solutions and enterprise business partners to support governance, risk, regulatory, and operational objectives.

Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions

Lead and develop a team of risk professionals, including performance management, coaching, mentoring, and career development

Foster a culture of accountability, risk awareness, and continuous improvement

Required Qualifications

Bachelor’s degree or equivalent experience

10+ years of financial services experience with a focus on risk management, controls, and broker-dealer operations

Active FINRA Series 7 and Series 24 licenses required at hire

Strong knowledge of broker-dealer regulations and regulatory reporting frameworks

Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk, and related oversight routines

Proven ability to influence and collaborate across business lines and external stakeholders

Prior team leadership experience

Strong relationship building skills - including highly effective communication skills with the ability to identify and resolve/mitigate issues or risks

Strong analytical, organizational, and time management skills

Ability to drive results and meet deadlines to reduce risks

Strong written and verbal communication skills

Must be able to work independently

Preferred Qualifications

Experience with advisory products, investment products, annuities, insurance, and retirement plans

Strong relationship building skills - including highly effective communication skills with the ability to identify and resolve/mitigate issues or risks

Strong analytical, organizational, and time management skills

Ability to drive results and meet deadlines to reduce risks

Strong written and verbal communication skills

Must be able to work independently

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).

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.

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 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.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

FPPS Wealth Management Solutions

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.