Ameriprise Financial Services, LLC

Consultant

• responsible for the execution of the external sales strategy in the assigned territory to build awareness of retirement product offerings and drive product sales.
• partner with a broader sales consulting team that focus solely on Ameriprise advisors.
• responsible for building/maintaining relationships across Ameriprise Advisor channels and Field Leadership.
• represent the team and present content at in-person meetings, conferences, and virtual events.
• drive sales in territory by developing, maintaining and deepening relationships with new and existing advisors through 1:1 calls, client events, training and education, group presentations and other selling strategies and tactics.
• influence advisor choice through the use of a consultative sales process and other sales techniques and systems.
• work with leader to research, analyze, and manage territory and execute on sales plan; leverage resources to achieve/exceed targets.
• demonstrate deep understanding of retirement products, including all features and benefits, to educate and sell solutions to solve advisor and client needs.
• build and maintain relationships with internal/external partners (e.g. Wealth Management Solutions, Marketing, Investment Research Group, field leadership, etc.).
• research and communicate industry changes and trends that may impact company or product positioning, both with internal and external customers.
• manage and develop systems to create efficiencies (scheduling/rotations, meeting preparation & follow-up, recognizing advisor sales, budget management, etc.).
• prioritize and manage daily, weekly, and monthly workload.
• use tools/software, including proprietary programs, to research advisor business and identify opportunities to offer solutions.
• analyze reports to increase understanding of advisor business and identify sales trends; leverage the information to prepare for face-to-face sales calls.
• complete required coursework in order to maintain compliance with state and federal regulations and licenses.
• travel within territory to conduct in person 1:1 Advisor sales calls, conduct client events, and to deliver group presentations, including continuing education/training.
• represent WMS at National, Regional and Industry related meetings, conferences, and virtual events.

Regional Retirement Consultant

Architect

• Create exceptional experiences for our clients and advisors, enabled through technology and rooted in our enterprise strategy
• Analyze data and translate it into actionable activities for customer experience
• Use business architecture tools and techniques to assess areas for improvement
• Assist with the creation of journey maps and other analytical visuals
• Support projects and operations to deliver on agreed-upon business outcomes
• Advocate a Customer-Centric Culture within the organization
• Become a trusted business partner on business architecture matters

Business Architect

Client Services Representative

• Support assigned Financial Advisors by utilizing the client relationship model & turnkey tools.
• Gather & analyze client data, help prepare financial plans, process transactions & trades.
• Provide general administrative/reception/operations support as needed in the branch.
• Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing trades.
• Frequent communication with financial advisors, bank representatives and others via email and phone.
• Prepare and summarize client meetings by scheduling and confirming meetings.
• Prepare and ensure new business paperwork successfully submitted.

Client Service Associate – Managed Program

Director

• Identify key industry trends and emerging issues impacting financial advisors, including financial wellness and holistic planning strategies.
• Shape and refine strategic focus areas for the Advisor Consulting & Development program—balancing short term advisor needs with long term industry dynamics.
• Deliver compelling presentations, keynote sessions, workshops, and one on one consulting to financial advisors across multiple channels.
• Partner with Sales, National Accounts, and Marketing to align messaging, content, and go to market strategies.
• Develop and promote actionable content, thought leadership, and messaging frameworks.
• Train internal teams on program themes, insights, and delivery best practices.
• Represent Columbia Threadneedle at conferences, client events, and industry forums as a subject matter expert.

Senior Director – Advisor Consulting

Financial Planning and Analysis

• Assist Ameriprise financial advisors in servicing clients including preparing basic financial plans, conducting investment research and completing trades and transactions (Money movement, new account opening, etc.) as described by the advisor
• Prepare and summarize client meetings by scheduling and confirming meetings, create the agenda and summary of meetings and provide necessary follow-up
• Prepare and ensure new business paperwork successfully submitted which includes preparing forms, obtain appropriate signatures, prepare documentation to send to home office, track new insurance/ annuity applications and coordinate rollovers
• Prepare for and coordinate marketing events which includes creating marketing compliance documentation
• Provide general administrative duties such as answering the advisor's phone, process expense management reports, prepare routine client correspondence, set up of client files, copy and new business correspondence and alerts
• Assist advisors in increasing their social media presence (Facebook & LinkedIn) with relevant and timely

Financial Advisory Analyst

Client Partner

• You will be a key part of our Institutional Client Management team, focusing on our UK, Insurance and MEA client base.
• Responsible for partnering with the Sales team to ensure our clients enjoy an excellent ongoing relationship and experience with the firm.
• Own the ongoing relationship and experience for existing and new Institutional clients in line with our contractual agreements and Columbia Threadneedle standards.
• Establish client service intent and map to the firm’s capabilities.
• Identify and drive solutions to service needs.
• Manage client engagement throughout events including negotiation of client contractual documentation.
• Alert the Sales team to potential cross-sell, up-sell or defence opportunities arising from client engagements.
• Proactively monitor delivery vs service proposition, including sign-off where required for service deliverables.

Client Manager – Institutional

Compliance

• Responsibility for the development, maintenance and execution of the risk-based EU hub, NL, and other European Compliance Monitoring Plans ‘CMP’.
• Assistance with other European CMPs/monitoring activities will also be expected, including some quarterly travel (e.g., branch office visits and similar).
• Contribute to the design of the NL and other European annual plans (as subsets of the Global CMP).
• Maintain and enhance regulatory mapping across Dutch, Luxembourg and wider EU regimes.
• Perform topic based/thematic Compliance monitoring reviews (both regional and as part of wider global reviews).
• Performance of ongoing/periodic monitoring activities.
• Track, report, and drive timely remediation of issues/actions arising from monitoring reviews.
• Provide input into compliance reporting for boards and NL risk committee and other relevant committees and forums.
• Lead/participate in due diligence visits and outsourcing oversight reviews of material third party service providers.
• Monitor delegated business activities (internal and external, as appropriate).
• Provide ad-hoc monitoring support for business change, thematic deep-dives and regulatory queries.
• Support key supervisory processes (e.g., SREP).
• Support NL Compliance in DORA incident protocols, providing monitoring insight and serving as an independent compliance challenge.
• Assist with ad-hoc Compliance tasks and project work as required.
• Co-ordinate the production of the Systematic Integrity Risk Analysis Reports (SIRA).
• Collaborate with and provide ad-hoc European regulatory training to other Monitoring team members in the UK, India, and US.

Compliance Monitoring Officer, Fluent Dutch

Risk

• Prepare data summary analysis, internal trending reports, and presentations, as needed
• Prepare Operational Risk Management dashboards as required by leadership
• Liaise with leaders from different business lines for risk identification and report them through ORM route
• Handle Operational Risk Management ad-hoc requests related to audit and other regulatory requirements

Senior Operational Risk Management Associate

• Responsible for supporting and maintaining the Model Risk Management framework consistent with business and regulatory requirements.
• Assist Model Risk Management leadership in meeting model risk governance and oversight requirements.
• Support and facilitate monitoring of model risk policy requirements and related metrics, escalate breeches, and manage exceptions.
• Create key reports for risk metrics used in senior level distribution.
• Perform subject matter expert reviews and oversight of model governance, model identification, model use and model controls in the first line of defense.
• Perform subject matter expert reviews and oversight of Artificial Intelligence use cases including identification and risk assessment.
• Maintain and enhance the model inventory and findings repositories tool for limited-scope projects.
• With supervision, design and deliver training to partners on policies, procedures, standards, and systems.
• Collaborate with senior management and colleagues in business and staff functions across the enterprise in the development, review and revision of model risk policies, procedures, and standards.

Lead Model Governance

Sales

• Manage a book of pooled and segregated UK Institutional clients
• Develop relationships across our channel
• Work collaboratively to evolve our approach to relationship management
• Maintain knowledge of market trends and regulatory changes
• Lead with insights in client and prospect engagement
• Ensure a joined-up approach with field consultants
• Adopt a proactive approach to asset retention
• Communicate investment strategy ideas

Relationship and Sales Director – UK Institutional

Operations

• Lead the development and ongoing management of the Field Registered Principal (RP) training curriculum
• Design new training programs and enhance existing materials
• Prepare presenters for monthly Field RP workshops
• Oversee and maintain the RP Resources page on Advisor Compass
• Conduct an annual comprehensive review of materials
• Develop new content in response to business priorities
• Draft and distribute field communications
• Conduct in-depth analysis of complex business processes
• Provide subject-matter expertise and project management leadership
• Collaborate and communicate effectively with stakeholders

Learning Experience, Communications & Operations Manager

• Conducting research
• Defining and documenting business requirements
• Providing analytical and reporting support
• Contributing to the development and ongoing maintenance of the infrastructure necessary to sustain and enhance performance reporting capabilities across the AWM segment
• Participating in the execution of projects aimed at developing investment products
• Ensuring compliance
• Enhancing the quality of performance data
• Improving the front-end experience
• Providing data quality oversight, escalation support, process and procedure development
• Maintaining or supervising control-related testing across the various performance tools and processes
• Participating in the performance verification compliance process for third-party investment manager performance information on the Advisory Platform
• Helping maintain business ownership of the performance reporting tools utilized for both client and product performance reporting

Senior Analyst, Investment Performance

• Provide guidance, coaching, and indirect leadership
• Research and respond to advanced issues
• Assist in quality management processes
• Complete day-to-day operations processing tasks
• Participate in projects and initiatives

Operations Coach

• Direct product pricing, ongoing rate-setting, data modeling, product analysis, and ad hoc reporting
• Lead the analytics for the product pricing process and ensure accurate information is provided for business decision-making
• Drive revenue, margin, and sales through the delivery of optimized pricing guidance
• Direct development and refinement of product pricing, profitability and financial models for Cash and Deposit Products
• Provide guidance to staff to apply the results of financial models to business decisions such as pricing strategies, investment strategies, and product design
• Provide oversight for rate implementation and accuracy validation for weekly rate-setting processes
• Provide fast turnaround product analysis to support business decisions and project activities for Cash Products
• Develop subject matter expertise in staff regarding data sources and product features and benefits
• Develop and deepen relationships with Finance, Investments, Treasury, and Risk Management
• Design executive communications that synthesize data to form a story to contrast or compare to industry or historical business trends
• Create and enhance product reporting including routine and ad-hoc reports
• Audit existing pricing processes to ensure all risk and control processes are being met
• Maintain a strong control environment through oversight of financial controls
• Lead and develop junior team members to perform key analyses, BAU and advanced analytics

Director – Pricing and Analytics

• Provide operational risk management by guiding the Supervision Team in developing and ensuring critical risk controls and overseeing day to day risk activities for departmental business processes.
• Support business partners and oversee process reviews to identify risks and develop appropriate solutions while ensuring adherence to regulatory and supervisory requirements.
• Serve as the escalation contact and risk liaison to support clear information exchange and to drive timely execution of risk mitigation recommendations and actions.
• Facilitate alignment, resolve escalated issues and provide a point of contact for business and external senior leaders for department business processes.
• Identify opportunities and recommend solutions to mitigate current and future business risk.
• Provide expertise to other areas for enhancement and implementation of Self –Monitoring plans.
• Ensure regulatory and supervisory controls are in place for products and processes by acting as a point of contact for business partners.
• Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
• Review reports illustrating risk parameters and metrics associated with business lines.
• Develop and enhance risk measurement policies, procedures and metrics.
• Enhance risk reporting with new ideas gathered from research, best practices, and knowledge.
• Initiate and/or conduct Risk Assessments across business.
• Facilitates Compliance Manual Procedure and WSP changes and partners with the Business to execute the communication plan.