What are the responsibilities and job description for the Regional Risk Management Director position at Jobleads-US?
About the Position
This Senior Regional Risk Manager position is a critical role within our organization, requiring a strong leader with expertise in risk management and compliance. The ideal candidate will have a proven track record of success in leading teams and developing effective oversight systems and processes.
Responsibilities:
Leading the AFIG RP team and evaluating their performance.
Providing oversight through regular interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders, and financial institution leadership.
Identifying and addressing Regulatory issues and developing plans to close related issues.
Communicating, advising, and guiding regional leadership on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk.
Developing effective oversight systems and processes to prioritize and address areas of highest risk.
Leading implementation and driving uptake of new supervisory policies, tools, and systems.
Training new and existing field leaders, RPs, RRPs, and RP delegates.
Partnering with Group Vice President and VP Planning & Administration to implement a Process Management Process for RPs who are not meeting minimum expectations of the role.
Acting as Strategic Business Partner to field leaders, corporate partners, and Financial Institution partners.
Assessing, creating, or modifying policies and processes to align with the AFIG channel.
Requirements:
Bachelor's degree or equivalent.
7-10 years of relevant experience.
Active FINRA Series 7.
Active FINRA Series 24.
Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days.
Active State IAR registration (S65 or S66) or ability to obtain within 150 days.
Strong knowledge of financial services industry products, services, and financial planning.
Strong knowledge of Broker/Dealer regulatory issues, Ameriprise's hybrid model, supervisory policies, procedures, and systems.
Effective personal presence and the ability to influence through training and personal interactions.
Demonstrated effective analytical, diagnostic, investigative, and problem-solving skills.
Strong oral and written communication skills demonstrated conflict management and collaborative skills, and ability to lead.
Ability to manage multiple and complex tasks.
Ability to travel 25-50% depending on territory size, numbers of RPs, and need for on-site oversight.
Ability to work from Ameriprise Office.
