What are the responsibilities and job description for the Senior Regional Risk Manager position at Jobleads-US?
Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs).
Job Description:
- Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance.
- Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision.
- Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the Group Vice President.
- Communicate, advise, and guide regional leadership on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk. Engage corporate office partners to address risk.
- Develop effective oversight systems and processes to prioritize and address areas of highest risk.
- Lead implementation and drive uptake of new supervisory policies, tools, and systems.
- Train new and existing field leaders, RPs, RRPs and RP delegates. Assess, address, and document the readiness of existing Field RPs to perform the six key responsibilities of ongoing, risk-based supervision.
- Partner 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, as necessary or appropriate.
- Act as Strategic Business Partner to field leaders, corporate partners, and Financial Institution partners.
- Assess, create, or modify policies and processes to align with the AFIG channel.
Required Qualifications:
- 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.
Preferred Qualifications:
- Experience with Ameriprise supervision and compliance and financial institution investment program business.
- Demonstrated ability to use technology and tools to gain efficiencies and speed.
- Self-motivated with the ability to achieve results in an independent environment, aptitude, and comfort with technology.
