Plan and oversee multiple Risk and Control Services activities including but not limited to introducing and clearing broker-dealer activities while concurrently covering multiple businesses, functions, subsidiaries, and geographies. Be responsible for using a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, controls and governance processes. Supervise activities to ensure consistency, quality and compliance with department policies.
Responsibilities
Responsible for planning and overseeing multiple Risk and Control Services activities concurrently using a disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Provide thought leadership and guidance upward, downward, and to business partners. Supervise Risk and Control Services plan and the quality of activities and projects executed, on time, and within budget. Maintain detailed understanding of plan status for SOX/MAR and audit engagements. Provide input and insight into the annual planning process.
Proactively coordinate across Risk and Control Services to ensure delivery of audit plan. Gather materials for input into Executive, Board, and Governance forums, as necessary. Understand the business to efficiently and effectively resolve complex issues and to perform complex risk assessments.
Present findings and recommendations to business leaders to gain concurrence and achieve timely corrective action. Serve as a key interface with Vice President level business leadership. Create recommendations for changes to the overall Risk and Control Services plan, processes, and methodologies. Perform ongoing review and adjustments of the plan to ensure activities are focused.
Lead/develop a team to effectively deploy resources to meet organizational needs. Arrange formal training or other experiences to foster learning and development. Develop goals and cascade goals to ensure alignment with the overall strategy. Perform ongoing capacity analysis to ensure resources are fully utilized. Provide action-oriented feedback and hold others accountable.
Coordinate with appropriate control groups in planning and executing assigned work. Ensure work is completed within established timelines. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.
Required Qualifications
Bachelor's Degree.
7-10 years of relevant experience.
Experience with leading and overseeing multiple concurrent projects.
Industry experience in public accounting, internal audit, technology, or related financial services field.
Broadly recognized for knowledge/understanding across multiple business lines and/or for demonstrated expertise in a critical subject matter area. Master-level project leadership skills.
Ability to transfer knowledge and assist others to achieve proficiency in audit skills and business knowledge.
Preferred Qualifications
Bachelor's degree in Finance, Accounting, or related.
Certifications in CIA, CISA, CPA, CFSA
Series 7 and 24
Masters degree
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.
