Key Responsibilities
Facilitate WMS Product Committee meetings, including coordination of the voting process.
Oversee and influence business partners and senior leaders to ensure effective development and implementation of compliance and risk policies.
Lead and manage WMS product-related compliance and risk initiatives.
Must demonstrate strong expertise in applying Reg BI, compliance, and risk management practices.
Collaborate with product teams, relationship management, due diligence, and IRG to support WMS product oversight.
Monitor evolving regulations; lead impact assessments and develop actionable solutions to maintain compliance and mitigate risk.
Coordinate and support reviews of internal and external business practices; identify gaps, propose solutions, and ensure effective compliance oversight.
Represent WMS Products as a subject matter expert in cross-organizational initiatives.
Manage timely responses to regulatory inquiries, audits, and risk/compliance testing.
Lead resolution of complex and non-routine issues with internal and external partners.
Identify and recommend updates to policies, procedures, and reporting frameworks.
Management of Written Supervisory Procedures, PPA Procedures, business procedures and polices
Required Qualifications
Bachelor's degree or equivalent professional experience (4-years)
7+ years' experience in financial services
Knowledge of applicable Industry regulations.
Knowledge of complex products and services
Active Series 7
Active Series 24
Preferred Qualifications
Understanding of how complex investment products react to various market and economic conditions
The ability to confidently represent the firm in interactions with regulators, maintaining credibility and professionalism.
Strong relationship building skills.
Ability to proactively identify potential issues and propose solutions.
Focus on personal development and teamwork.
Ability to lead up and across to business partners.
Exceptional verbal and written communication skills.
Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.
Ability to collaborate, communicate, and influence across different levels of an organization.
Ability to maintain productive working relationships with business colleagues.
Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment.
Negotiation, decision making and problem-solving skills.
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 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.
Base Pay Salary
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
Exempt/Non-Exempt
Job Family Group
Line of Business