Senior Regional Risk Manager
Job Posting for Senior Regional Risk Manager at Ameriprise Financial
Provide ongoing, risk-based leadership and oversight that reduces regulatory risk in the region. Operate in a hybrid supervision model under the direction of the RVP and matrix relationship to Risk Mitigation. Train new Field leaders and RPs and support existing Field RPs and assess their ongoing supervisory performance and development. Partner with the corporate office to advise on escalated issues. Educate advisors, staff, and RPs on regulatory and supervision policies. Educate, advise, and guide the regional leadership on supervisory trends and actions to mitigate risk.
- Identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified and appropriate action is taken.
- Educate, 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 and RPs and assess, address, and document the readiness of existing Field RPs to perform the six RP responsibilities of ongoing, risk-based supervision. 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 RVP.
- Act as Strategic Business Partner to field leaders. Partner with RVP and RDO to implement a PMP process for RPs who are not meeting minimum expectations of the RP role, as necessary or appropriate. Prepare and present analysis of risk trends in the region for the semi-annual business line reviews.
- Bachelors degree or equivalent (4-years)
- 7-10 years Relevant Experience Required
- Series 7 and Series 24 or ability to obtain within 150 days
- Strong knowledge of financial services industry products, services, and financial planning.
- Working 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.
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Salary.com Estimation for Senior Regional Risk Manager in Marlborough, MA
$101,881 to $129,129
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