Senior Manager – Business Analyst, Rate Lead

Ameriprise Financial Services, LLC

Senior Manager overseeing regulatory, operational, and financial processes within financial services. Responsible for compliance and rate governance across WMS Products and Platforms.

Posted 5/3/2026full-timeMinneapolis • Minnesota, North Carolina • 🇺🇸 United StatesSenior💰 $87,400 - $120,200 per yearWebsite

Tech Stack

Tools & technologies

PMP

About the role

Key responsibilities & impact

Lead rate governance processes, including quarterly and annual rate audits, rate change reviews, accounts receivable reconciliations to validate rate accuracy, and oversight of fund/manager fee updates aligned with cost-reimbursement programs across products and managers, while driving automation and enhancements to SOX controls.
Serve as a thought leader by proactively identifying emerging trends, risks, and industry shifts, translating them into strategic recommendations that strengthen operational readiness and regulatory alignment.
Manage regulatory and disclosure activities, including revenue-sharing, OIBD and website updates, 5% disclosures, monthly FINRA 2241/2242 communications, and the annual Board of Directors presentation.
Conduct quarterly DOL commission reporting, OC5 cost reimbursement reporting, and support annual and mid-year audit cycles.
Guide contract management workflows within Liferay and coordinate updates related to WMS regulatory enhancements.
Maintain the business continuity plan and communication protocols, while driving continuous improvement and elevating organizational preparedness.
Champion operational excellence, fostering a culture of innovation and control-strengthening across teams.
Lead cross-functional initiatives to enhance processes, improve data integrity, and ensure accurate and compliant regulatory reporting.
Influence organizational strategy by providing expert insights, framing complex issues for senior leaders, and driving alignment across Finance, Operations, Legal, Compliance, and Product.

Requirements

What you’ll need

5+ years of experience in financial services, asset management, brokerage operations, or a related regulatory or financial operations environment.
Demonstrated knowledge of regulatory frameworks such as FINRA, DOL, SEC, or SOX, with experience supporting audits or control-sensitive processes.
Strong analytical and data validation skills, including proficiency with Excel or similar reporting tools.
Experience with disclosure reporting, fee/rate governance, revenue sharing processes, or other financial oversight functions.
Familiarity with contract management systems (Liferay or comparable platforms).
Proven ability to manage cross-functional initiatives, influence stakeholders, and lead process or automation improvements.
Exceptional attention to detail, organizational discipline, and ability to manage recurring regulatory deadlines.
Strong written and verbal communication skills, with the ability to simplify complex regulatory or operational requirements.
Bachelor’s degree required; advanced degree or certifications (e.g., MBA, CPA, CRCM, PMP, or Lean/Six Sigma) preferred.

Benefits

Comp & perks

vacation time
sick time
401(k)
health, dental and life insurances

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

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

Hard Skills & Tools

rate governanceregulatory reportingdata validationdisclosure reportingfee governancerevenue sharingaudit supportprocess automationfinancial oversightcontract management

Soft Skills

analytical skillsattention to detailorganizational disciplinecommunication skillsinfluencing stakeholderscross-functional leadershipstrategic recommendationsoperational excellencecontinuous improvementinnovation

Certifications

MBACPACRCMPMPLean Six Sigma