Ameriprise Financial Services, LLC

Compliance

• Serve as a primary compliance advisor to Capital Markets and IRG stakeholders, applying deep knowledge of product structures, distribution requirements, and associated regulatory frameworks.
• Monitor and interpret emerging regulatory developments, providing actionable guidance to business partners and ensuring timely incorporation of rule changes into policies, supervisory procedures, and operational processes—consistent with Compliance’s mission to foster a culture of integrity, mitigate risk, and partner closely with the business.
• Evaluate and escalate complex compliance issues, exercising sound judgment in an environment where investment products, market dynamics, and regulatory expectations continue to evolve.
• Collaborate with cross‑functional teams—including Legal, Product, Operations, and other Compliance groups—to support reviews, new product initiatives, regulatory exams, and strategic firmwide projects.
• Enhance and maintain written supervisory procedures and compliance manuals, supporting updates related to capital markets activity, product requirements, and emerging risks.
• Strengthen the firm’s risk management posture by proactively identifying trends, supporting monitoring activities, and ensuring controls align with industry best practices and regulatory expectations.

Compliance Manager – Officer

Product Manager

• Drive Ameriprise Client Experience initiatives in advisory business that grows assets, increases net flows, drives revenue generation, and implements cost/expense saves
• Support the development of the Advisor/Client Experience across the advisory platform
• Contribute to the requirements and delivery of new products and services to enhance the client and advisor experience
• Act as an advisory experience SME and provide recommendations from products perspective
• Seek to learn and track industry trends for continual advancement and competitiveness

Senior Product Manager – WM

Sales

• Partner and consult with financial advisors to guide the implementation of Columbia Threadneedle's ETF account sales
• Deliver product knowledge, competitor analysis and usable sales approaches across BD, RIA, Private Bank, and Independent channels
• Create Columbia Threadneedle brand recognition and demand
• Drive sales by developing, maintaining, and deepening relationships with new and existing advisors
• Travel required: 10-20% of time
• Represent Strategic Beta/ETF products distributed and marketed by Columbia Threadneedle

Sales Specialist, ETFs

• Partner with Intermediary wholesaling team and National Account team to achieve sales goals and objectives through effective territory and resource planning
• Drive sales by supporting Regional Advisor Consultants
• Partner with portfolio management team and regional advisor consultants in delivering high touch service model in the sales, account opening, maintenance and performance review process

Sales Specialist, Separately Managed Accounts

General Counsel

• Support Life Product Development by drafting, reviewing, and finalizing contracts
• Drive timely state and federal regulatory approvals for new contracts and prospectuses
• Research laws and provide guidance for New Business, Underwriting, and Operations teams

Counsel

Risk

• Provide risk-based leadership and oversight to reduce regulatory risk in the region
• Train new and support existing Field Registered Principals (RPs)
• Assess and provide feedback to Field RPs for development of ongoing supervision/mitigation of risk
• Educate the field on regulatory and supervision policies while effectively communicating with regional and executive leadership on potential trends and actions needed to mitigate risk
• Ensure effective, documented supervision and strong scalable, repeatable supervisory processes
• Partner with the corporate office to advise on scalable issues
• Provide oversight through regular, effective, ongoing interactions with Field RPs and second level leaders 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
• 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 Regional Director of Operations 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

Senior Regional Risk Manager

Financial Planning and Analysis

• Partner with local leaders within dedicated regions and corporate partners in financial institution on-boarding process.
• Serve as primary on-boarding contact for financial institution partners.
• Collaborate for on-boarding of bank staff including Licensed Bank Employees or Registered Financial Institution Professionals.
• Provide virtual and in-person support for post on-boarding processes.
• Partner with Regional Directors to influence local staff to assist in on-board process.
• Provide system and reports training, work on projects, RFPs, audits as assigned.

Financial Institutions Engagement Associate

Director

• Drive profitable growth through effective management of P&L
• Lead branch and associate managers and advisors
• Develop high-performing branch and associate managers
• Recruit high-quality experienced advisors
• Ensure brand standards, client service, and client satisfaction are met

Complex Director

Engineering Manager

• Design and implement various strategies, solutions, roadmaps and technical designs for all Service Oriented Architecture.
• Design various integration programs and prepare required documents for same and execute various integration platforms.
• Expertise will be applied to highly complex and/or broad scale projects in a general area or focused in a specific technical area (e.g. Data, Solutions or Technology Architecture).
• Translate business needs into technical solutions by planning, developing, and refining to-be architectures.
• The Architect for Data Integration Infrastructure will be responsible for designing reusable data integration patterns (Enterprise Service Bus, Enterprise Messaging, Enterprise file transfer), platform solutions and patterns, both on premise and in the cloud, for use across the enterprise.
• Key Responsibilities include People leadership of AmpI AI Platforms and Analytics Teams, Lead Engineering of AI platforms and tools (e.g. Bedrock, Sagemaker), Product owner for Analytics platforms and tools (e.g. Denodo, EMR), Product owner for Data Lake and Yule framework, Develop current to future state architecture roadmaps, Align and promote enterprise technology principles and strategy, Contribute to and author application and capability strategies, Establish, maintain and apply architecture standards, disciplines and principles, Use appropriate design techniques to translate project requirements into detailed designs, Create effective and efficient control patterns, conduct risk evaluations, and enforce policies and standards to enable enterprise business at an appropriate level of risk, Research and recommend technology to improve current systems, Ensure capabilities are reviewed and compliant with appropriate levels of risk, Maintain deep expertise in architectural modeling, frameworks, emerging technologies, and best practices, Mentor and develop less experienced technical staff, Provide technical leadership in both business-as-usual and crisis conditions, Recommend new procedures and processes to drive desired results on diverse projects, Perform industry research with external parties and maintain networks amongst peers, Develop and communicate governance parameters that take into account stakeholders' interests and processes with measurable results, Partner with other architects to ensure alignment and integration across portfolio boundaries and promote an enterprise focus on applications management, Develop and build strong relationships within and across lines of business and use effective communication skills to influence and accomplish strategic application architecture objectives.

Data Engineering Manager

• Provide direct supervision of investment advisory services to determine suitability of service and recommendations.
• Evaluate and select targeted client advisory relationships for review.
• Communicate with advisors, field registered principals, and field leaders regarding results of supervisory activity.
• Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes.
• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.

Sales Supervisor

Analyst

• Researching, validating and setting up new mandatory and voluntary events
• Instructing voluntary Corporate Actions to Custodian banks and third party stakeholders
• Processing and reconciling Corporate Action events
• End to end Corporate Actions lifecycle management for all portfolios
• Event set up, entitlement calculation and analysis
• Obtaining instructions from portfolio managers and communication to Custodians

Senior Corporate Actions Analyst

Recruitment

• Proactively contact financial advisors within your assigned territory to schedule meetings with our recruiters.
• Partner with internal recruiters, corporate partners, and field leaders to align sourcing efforts with business needs and hiring goals.
• Build and maintain relationships with prospective candidates to nurture interest over time.
• Meet lead generation goal, track sourcing metrics, and analyze data to improve recruitment outcomes.
• Stay informed about industry trends, competitor hiring strategies, and best practices in financial advisor recruitment.

Experienced Advisor, Recruiting – Sourcing Specialist

Operations

• Provide technical support and incident resolution for home-grown and vendor products, using technologies such as, but not limited to: Power BI, Python, SQL stored procedures, SSRS, SSIS, Power Shell.
• Own and resolve day-to-day production issues, ensuring seamless operations and user satisfaction.
• Perform root cause impact and analysis, implement bug fixes, and document support procedures, relaying feedback to development teams for continuous improvement.
• Review, approve and deploy developer Change Requests into your production environment, assessing code quality, efficiency, simplicity, scalability and security.
• Interface with vendors for issue resolution and feature enhancements and maintain SLAs.
• Identify automation opportunities to boost team efficiency and deliver value.
• Helping with business user education and enhancing application usage.
• Monitor system performance and proactively address risks, track and report support metrics and user satisfaction.
• Ensure compliance with IT policies and audit requirements.

Tech Operations Lead – Power BI

• Provide business partnering finance support for cost and headcount budgeting and planning
• Oversight of the production of BAU financial cost and headcount reporting
• Produce ad-hoc financial reports and analyses on a timely, accurate and consistent basis
• Efficiently produce insightful and well thought out analytics
• Lead the continuous improvement of processes

Finance Manager

Security Engineer

• Evaluate and support the delivery of business solutions aligned with information security policies
• Be the single point of contact for assigned business projects for information security consulting engagements
• Perform internal audits, support external audits, and close identified gaps
• Implement and execute security evaluation processes
• Provide feedback and recommendations to remediate security gaps
• Manage Vulnerability Management and perform various security assessments
• Build strong, trustworthy partnerships with technology and business stakeholders
• Provide security technology engineering design leadership to technology project teams