Plan and execute complex portions of the Risk & Control Services plan, including concurrent audit and SOX/MAR compliance activities and presenting objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Will manage a team of auditors as well as supervise and lead projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of work.
Responsibilities
- Plan and execute complex portions of the Risk & Control Services plan including audit activities and SOX/MAR 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 a team of auditors as well as assigned projects which includes providing 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 time lines. Coordinate with the appropriate control groups in planning, and executing assigned work. Ensure work is completed within established time lines.
- 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.
- 5-7 years of relevant experience, including managing people.
- 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
- Bachelor's degree in Finance or Accounting.
- Certifications in CIA, CISA, CPA, CFSA.
- Public accounting experience
- Financial Services experience
About Our Company
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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. |
