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
Bachelor's degree
5+ 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, CFSA
Financial Services experience
Broker-Dealer experience
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
Minnesota Residents Only: The estimated base salary for this role is $117,700 - $158,900/ year. Base salaries are determined in part 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 support all aspects of your health and well-being.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 timeExempt/Non-Exempt
ExemptJob Family Group
FinanceLine of Business
FIN Finance
