Ameriprise Financial Services, LLC

Attorney

• Complete processing of legal documents received
• Develop and maintain standardized legal response templates
• Handle all company-received bankruptcy documents
• Coordinate legal activities related to court-generated requests

Legal Service Expert

Product Manager

• Manage business/product critical processes, reports, and audits
• Act as subject matter expert on various product lines
• Perform regular reviews of policies, procedures, and reports
• Manage resolution of complex advisor/client issues
• Own client pre-qualification and product sales kit process for Alternative Investments

Product Manager – Wealth Management

Research Analyst

• Utilize data analytics, news aggregation, and other tools to monitor high quality credits across a variety of municipal bond sectors
• Complete more thorough reviews of flagged credits, putting key datapoints in context and elevating to senior analysts as necessary
• Maintain and enhance the muni analytics platform to drive efficiency and further our research analytics strategy
• Help maintain integrity of the municipal credit management system (Investortools – CreditScope) data
• Over time, a successful candidate will learn to think like a fixed income investor, assuming more responsibility for making and communicating internal rating/recommendation changes and contributing to team discussions focused on sector trends, key topics, and investment opportunities

Associate Investment Research Analyst – Municipal Bonds

Sales

• Review of supervisory alerts for transactions in equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level.
• Supervision of new accounts and strategy changes in Brokerage and non-discretionary Managed Accounts.
• Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
• Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity.
• Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
• Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes.
• Evolve day-to-day processes to streamline work and focus on issues that matter most.
• Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
• Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.

Sales Manager

Financial Planning and Analysis

• Provide full finance support including budgeting and planning
• Financial analysis, risk and regulatory ownership and oversight of compensation schemes at the regional level
• Oversight of the production of BAU financial reporting at Board and Committee level
• Support cost management of regional business teams
• Manage team member(s)
• Produce ad-hoc financial reports and analyses
• Lead the continuous improvement of processes
• Lead regional support of LFO financial tool kit
• Improve the level of understanding of the financial data within the team
• Develop and maintain relationships with other members of the Finance team
• Increase Finance's profile throughout the organization by the production of value added management information

Senior Finance Manager – International Financials, Tools

Business Analyst

• Design and maintain enterprise-grade reports and dashboards for pledge lifecycle
• Work on reporting procedures and maintain SLAs and cadences (daily/weekly/monthly)
• Deliver deep-dive analyses on reconciliation, and root-cause for pledge discrepancies
• Work with stakeholders to help define the data strategy for pledge operations
• Identify and work on automation opportunities across intake, validation, reconciliation, settlement/fulfillment, and reporting
• Own and continuously improve SOPs for pledge processing
• Run operational reviews and controls testing —reconciliations, dual validation, maker–checker processes
• Translate complex data concepts into clear, actionable insights for leadership
• Partner with Risk/Compliance to ensure procedures align with regulatory requirements and audit standards

Lead Business Analyst

• 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 advisors 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 Support

• Draft, negotiate, and review trading agreements including: ISDA Master Agreements and Credit Support Annexes (CSAs)
• Coordinate with internal stakeholders and external counterparties to ensure timely execution
• Advise on U.S. regulatory requirements impacting trading activities
• Monitor regulatory developments and assess impact on trading documentation
• Support onboarding of clients with counterparty banks and ensure compliance with key regulatory developments
• Provide legal input on new product launches and trading strategies
• Maintain and update legal templates and negotiation guidelines

Counsel – Trading & Regulatory Derivatives, Financial Products

Risk

• 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.

Risk Manager, Securities Based Lending

Compliance

• Perform GRC Controls Attestations for network-related controls and ensure compliance with Ameriprise Control Framework.
• Manage Archer Exceptions lifecycle for network security risk exceptions, including documentation, approvals, and remediation tracking.
• Oversee Enterprise Vendor Management Requirements (EVMR) compliance for network vendors and third-party providers.
• Monitor and report Risk Events impacting network infrastructure, ensuring timely escalation and resolution.
• Identify, track, and remediate Network Security Problems and InfoSec Vulnerabilities across network platforms.
• Conduct risk assessments and implement security controls aligned with regulatory and industry best practices for network technologies.
• Collaborate with internal stakeholders to maintain accurate documentation for compliance audits and attestations.
• Support audit engagements by coordinating schedules, tracking deliverables, and ensuring successful outcomes.
• Prepare management reports on compliance status, network risk exposure, and remediation progress.
• Drive continuous improvement in network compliance processes and risk management methodologies.