The Senior Manager, Business Controls acts as a regulatory subject matter expert and business lead to manage daily support of equity/options order event and transaction reporting (Consolidated Audit Trail).This role will also support written supervisory procedures for equity/options trading. The Senior Manager will support the Vice President of equity/options trading desk from business perspective by interpreting and applying complex rules and regulations. This role will also provide people leadership, training, and coaching to team members.
Supervise equity/options order event and transaction reporting (Consolidated Audit Trail).
Ensure regulatory and supervisory controls are in place for equity/options products and processes by acting as a point of contact for internal and external business partners; Direct and guide initiatives by validating applicable regulatory rules to business processes and enhancing processes or documentation as necessary; Participate, support department during regulatory exams and inquiries.
Provide oversight for the department's written supervisory procedures (WSPs) and supervisory delegate work related to equity/options.
Facilitate research and resolution for escalated issues, exceptions and risk incidents as point of contact for business and external senior leaders; Pro-actively identify opportunities and recommend solutions to enhance business controls.
Provide direction and oversight for the process documentation, confirmation, data assurance and process testing.
Lead, coach, and mentor other team members; Provide direct back-up to Senior Director; Act as a key lead on complex escalation issues; Serve as a key resource in special projects that have larger scale organizational impacts; Act as a liaison to risk, legal and compliance.
Bachelors degree or equivalent experience
7+ years of relevant experience
Strong analytical, organizational, and time management skills
Strong ability to lead, partner, and influence across all leadership levels
Excellent written and verbal communication skills
Ability to drive results and meet deadlines to reduce risks
Must be able to work independently.
Demonstrated people leadership experience, either through direct leadership or coaching/mentoring role
Active Series 7 or ability to obtain within 120 days
Active Series 24 or ability to obtain within 120 days
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.