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

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 & Tools
risk managementcontrol testingoperational metricskey risk indicatorslending productscollateralized lendingrisk assessmentrisk reportinggovernance frameworks
Soft Skills
leadershipcollaborationinfluencecommunication
Certifications
Series 7Series 24