Sr Service Ops Specialist

We are seeking a detail‑oriented and highly organized professional to support our clearing and operational functions as a key member of the team. In this role, you will be responsible for the daily balancing of OCC positions, monitoring trade activity for accuracy, and ensuring timely and accurate clearing of trades through DTCC/CNS. You will also manage the pledge of securities to the OCC and oversee critical processing activities including ESO and 10b5‑1 transactions.

This position plays an essential role in maintaining strong internal and external business partnerships, supporting our OCC relationship, and staying current on regulatory developments, technology updates, and project initiatives that impact the business. The ideal candidate is a strong communicator with the ability to effectively interact and communicate with executive leadership.
#S&O

Key Responsibilities

• Responsible for ESO and 10b51 processing

• Responsible for daily balancing of OCC positions and monitor trade activity for errors.

• Responsible for clearing of trades via DTCC/CNS and pledge securities to OCC.

• Maintain strong internal and external business partnerships.

• Supports the OCC relationship, stays close to regulatory changes, tech updates (projects) etc.

• Ability to effectively communicate to executive leadership

Required Qualifications
Active FINRA Series 7 license

Excellent communication and relationship management skills.

Preferred Qualifications
FINRA Series 24

FINRA Series 4

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 year-end 2024. Our team of 22,000 people across 19 countries, serves 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.

The estimated base salary for this role is $66,700-$91,700/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary 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 supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.

Full timeExemptClient ServiceCLEAR Clearing