Ameriprise Financial Services, LLC

Operations

• Drive operational excellence and support business growth for Ameriprise Financial Institution Group (AFIG).
• Provide leadership, operational and strategic oversight to deliver business outcomes and results.
• Ensure seamless client service delivery through effective systems, processes, and team leadership.
• Manage a team to achieve business goals and deliver measurable results.
• Lead initiatives that drive revenue growth, enhance client experience, and improve operational efficiency.
• Align resources to support key performance metrics, including client acquisition, GDC, net flows, retention, and digital adoption.
• Monitor and analyze performance metrics to identify next best actions and continuous improvement opportunities.
• Drive change management through effective communication, training, and coaching.
• Conduct regular one-on-ones and team meetings to foster engagement and development.

Manager – Field Operations, Engagement

Product Manager

• Product Management of Learning and Development tools including the Ameriprise LXP and embedded self-help tools.
• Product Management for Business Planning/Practice goal setting and management capabilities.
• Drive solutioning for rapidly evolving AI based collaboration capabilities such as Microsoft Co Pilot and M365.
• Manage vendor relationship and continued development and deepening of file management systems such as Box.com.
• Oversight and ongoing development of field awareness, change management, and communication capabilities.
• Support advisor recruitment and business development processes.
• Provide strategic leadership in defining and designing the end-to-end user platforms and supporting technology solution models for the business.
• Drive consistency and optimization of business processes and technology solutions across capabilities.
• Provide recommendations to preserve integrity across the various strands of change and ensure the delivery of holistic, integrated solutions.
• Partner with the business and end user research to lead discovery work for new capabilities or experiences that deliver new or differentiating business value.
• Work with the business to understand and define business processes that meet goals and objectives and maximize the value proposition of the technology solution.
• Analyze the existing capabilities to determine whether opportunities exist to create competitive advantages, cost efficiencies and/or revenue growth.
• Perform current state assessment to identify people, process, technology, and information gaps to develop product road maps and help create the supporting cost-benefit analysis (CBA).
• Manage the domain requirements and delivery processes, ensuring alignment with Ameriprise business and technology strategies and enterprise business architecture strategy.
• Provide solution design expertise and support for technology projects.
• Build and develop an effective organization with appropriate skills, organization structure, and direction to satisfy current and future business needs.
• Lead and oversee a team of product management professionals that are accountable for delivering business architecture services at Ameriprise.
• Facilitate the professional growth and development of the product management team.

Senior Director – Technology Product Management

Recruitment

• Represent Ameriprise Independent Advisors to all channels of distribution
• Travel throughout territory building relationships with advisors
• Manage advisor recruiting pipeline by leveraging team resources
• Maintain accurate and timely candidate records in recruiting contact management system
• Communicate advisor recruiting status and results effectively
• Answer advisor questions and resolve issues as needed
• Evaluate advisor practices for portability of assets
• Create a high volume flow of qualified candidates through various sources
• Build centers of influence to promote advisor referral opportunities
• Maintain current industry competitive intelligence

Regional Recruiting Director – Experienced Advisor Recruiting

Financial Planning and Analysis

• Support risk monitoring across different asset classes by updating and reviewing tracking data (e.g., limits and risk measures), ensuring issues are clearly identified and escalated.
• Work with teams across the business and external partners to gather and validate data, contributing to accurate and timely risk oversight.
• Contribute to the delivery of risk reporting by ensuring information is clear, consistent, and ready for senior stakeholders.
• Help identify and investigate data trends or exceptions, supporting the team in maintaining strong risk controls.
• Prepare materials for team and governance meetings, including agendas, slides, minutes, and action lists, and follow up to ensure actions are completed.
• Check documents and communications carefully to ensure accuracy and clarity, raising any issues where needed.
• Look for ways to improve processes, such as creating templates, checklists, or supporting simple automation.
• Help document processes and controls to ensure work is consistent, well-governed, and audit-ready.
• Handle data responsibly, maintaining confidentiality and following company policies.

Investment Risk Associate

Network Engineer

• Design, implement, and support complex network solutions that meet high standards for scalability, performance, and reliability across large, multi-technology projects
• Provide technical leadership to internal teams and external partners, ensuring sound designs, smooth execution, and seamless production integration
• Resolve incidents, problems, and requests efficiently
• Proactively monitor and optimize network configurations, applying real-time fixes to maintain enterprise stability
• Diagnose and troubleshoot issues using available tools, minimizing impact in high-pressure environments
• Communicate clearly with stakeholders about actions taken and root causes
• Recommend and implement upgrades and preventative measures aligned with corporate standards
• Serve as an escalation point for a wide range of network technologies, guiding peers in developing resilient solutions
• Enhance team capabilities by refining processes, documentation, and vendor interactions
• Actively pursue training opportunities to grow expertise and contribute to team and career advancement

Administrative Assistant

• Manage Calendar/meetings/calls for senior members of the Seligman NYC team.
• Organize/prioritize incoming requests to ensure calendars are utilized efficiently.
• Plan and execute meetings both internal and external.
• Receive incoming investors for in person in office meetings.
• Travel and Expense Management – arrange travel and process expenses.
• Manage email Distributions for prospective and Existing LP’s across hedge funds.
• Leverage CRM software for meeting notes and pipelines.

Senior Administrative Assistant

Sales

• Manage ongoing engagement with new advisors as they enroll in coaching programs.
• Engage with RSMs and RSDs to develop personalized learning plans.
• Manage cohorts of advisor learners and provide updates on engagement.
• Partner with cross organizational team members to curate relevant content.
• Build and update unique scoreboards for each cohort.
• Support national and regional calendar of learning and growth labs.
• Work with the learning team to develop content and expectations.
• Leverage existing reporting to identify key opportunities.

Associate Sales Manager

• Collaborate with senior investment strategists, planning strategists, paraplanners, analysts, and case managers to assess advisor and client needs and develop integrated investment strategies for high net-worth clients.
• Prepare high-quality investment materials and participate in advisor and client meetings, supporting both moderate- and high-complexity client cases.
• Partner with cross-organizational teams and affiliates – including wealth management sales teams, insurance, banking & cash solutions, and trust partners – to deliver coordinated solutions aligned to client objectives.
• Contribute subject matter expertise to initiatives and projects supporting the high-net-worth client segment and Advanced Wealth Planning & Consulting (AWPC) business.
• Support marketing and business development efforts to strengthen advisor engagement and build the AWPC sales pipeline.

Senior Manager – Portfolio Investment Strategist

Business Analyst

• 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.

Senior Manager – Business Analyst, Rate Lead

Events

• lead and be responsible for the event strategy, logistic management, communication, and execution of large-scale national and regional events
• oversee the RFP process in partnership with the Strategic Meeting Management Sourcing team
• manage multiple cross-org and third-party vendor relationships
• coordinate all field event logistics in partnership with internal teams and external vendors
• manage end-to-end program execution to ensure delivery meets quality standards, timelines, and budget objectives
• facilitate high-level planning sessions to define program goals and success criteria
• monitor participation and outcomes, identify opportunities for improvement and execute approved enhancements quickly

Senior Manager, Events

• Participate in driving efforts in Global Network Operations
• Support of hardware/software/network technologies production environment by pro-actively monitoring
• Collaborate with vendor/contractor partners to develop and implement detailed design, configuration and engineering strategies/solutions
• Provide troubleshooting and resolution to complex problems/issues
• Manage day to day work intake and assignment processes

Full-stack Engineer

• Supporting ongoing operations tasks/incidents ensuring platform availability
• Responsible for planning, designing, implementing, and monitoring security technologies
• Developing, implementing, and maintaining Java-based components in the IAM framework
• Writing well-designed, testable, efficient code
• Supporting continuous improvement by investigating alternatives and technologies
• Integrating applications by designing database architecture and server scripting
• Enhancing organization reputation by accepting ownership for accomplishing new requests

Tech Lead – Identity & Access Management

Manager

• Deliver a consistent and effective onboarding experience for each Experienced Advisor Recruit (EAR)
• Travel to EAR office locations to support onboarding
• Establish relationships with the EAR, their staff, field leaders, and support resources
• Be the onsite lead for transition tracking, questions, quality checking, error follow up
• Implement a workflow within the office to effectively transition clients and assets
• Coach and train EAR advisors and staff on key Ameriprise systems, processes, policies
• Identify and drive innovation and improvement within EAR Onboarding
• Lead and participate in project work to enhance the EAR Onboarding Experience
• Contribute to the overall success of the EAR Onboarding and Acquisition department

EAR Onsite Manager

Client Services Representative

• Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions as described by the advisor.
• Prepare and summarize client meetings by scheduling and confirming meetings, enter data into contact manager, create the agendas and summaries of meetings, escort clients to advisor and provide essential follow-up.
• Prepare and ensure new business paperwork is submitted in good order which includes preparing forms, obtain appropriate signatures, prepare documentation to send to home office, track new insurance applications and coordinate rollovers.
• Prepare for and coordinate marketing events which includes creating marketing compliance documentation and managing event marketing reimbursement.
• Provide general administrative duties such as answering the advisor's phone, process expense management reports, prepare routine client correspondence, support for closes, set up of client files, copy and new business correspondence and alerts.

Client Service Associate

Systems Engineer

• Provide Business Analysis support to a Project Team
• Act as the liaison between the business and IT organizations
• Gather, analyze, document and manage business and user requirements
• Identify potential solutions for the business and provide input to issues or risks
• Identify project interdependencies and communicate requirement/scope issues
• Translate business and user requirements into detailed system requirements
• Ensure appropriate bi-directional tracing of project modifications
• Complete project work objects and deliverables using Ameriprise Quality Measurement Systems standards
• Facilitate walk-through of project deliverables
• Assist with the development of the testing strategy
• Demonstrate expert level knowledge in all systems, processes and data
• Manage effective working relationships with technology teams and business partners
• Negotiate technical and non-technical solutions
• Prepare estimates of Business System Analyst work efforts
• Complete all support documentation on assigned projects
• Define and monitor all implementation tasks

Manager – Field Operations, Engagement

Senior Director – Technology Product Management

Regional Recruiting Director – Experienced Advisor Recruiting

Investment Risk Associate

Network Engineer

Senior Administrative Assistant

Associate Sales Manager

Senior Manager – Portfolio Investment Strategist

Senior Manager – Business Analyst, Rate Lead

Senior Manager, Events

Network Engineer

Tech Lead – Identity & Access Management

EAR Onsite Manager

Client Service Associate

Senior Business Systems Analyst