Ameriprise Financial Services, LLC

Risk Manager, Securities Based Lending

Ameriprise Financial Services, LLC

full-time

Posted on:

Location Type: Hybrid

Location: Minneapolis • Minnesota, North Carolina • 🇺🇸 United States

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Salary

💰 $87,400 - $120,200 per year

Job Level

Mid-LevelSenior

About the role

  • Serve as the primary risk partner for securities-based lending (SBL) products under Ameriprise Bank.
  • Implement and maintain risk management practices aligned with enterprise and regulatory standards.
  • Lead regular risk and control self-assessments with business partners, including product management, operations, project management and other internal risk teams.
  • Drive control evaluations, control testing and issue management for SBL.
  • Collaborate with brokerage affiliate teams to manage risks associated with SBL and related activities.
  • Mitigate risk by developing and/or monitoring operational metrics across business.
  • Perform regular control testing and evaluations to monitor control performance.
  • Support audits, regulatory exams, and internal reviews by providing documentation and responses.
  • Develop and monitor key risk indicators (KRIs) and reporting for leadership.
  • Provide guidance on risk policies, procedures, and governance frameworks.
  • Enhance risk reporting with new ideas gathered from research, best practices, and knowledge.

Requirements

  • 2-5 years of experience in Risk Management within a banking environment
  • Bachelor’s degree in finance, business, risk management, or related field
  • Strong understanding of lending products and associated risks
  • Proven ability to assess controls and manage operational risk
  • Strong ability to lead, partner, and influence across all leadership levels
  • Direct experience with securities-based lending or similar collateralized lending products
  • Familiarity with broker-dealer or brokerage operations and regulatory requirements
  • Knowledge of OCC, FINRA, and other relevant regulatory frameworks
  • Active securities license (Series 7 or Series 24)
Benefits
  • vacation time
  • sick time
  • 401(k)
  • health insurance
  • dental insurance
  • life insurance

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
risk managementcontrol testingoperational metricskey risk indicatorslending productscollateralized lendingrisk assessmentrisk reportinggovernance frameworks
Soft skills
leadershipcollaborationinfluencecommunication
Certifications
Series 7Series 24