Financial Planning Support Associate at Davy providing client support and ensuring regulatory compliance in financial planning initiatives.
AL
Hybrid Manager, Business Unit Risk-Compliance Liaison
Posted 2 months ago
About the role
- WMS Products Risk Manager overseeing compliance for financial products at Ameriprise Financial. Collaborating with teams to ensure adherence to laws and regulations while managing risk initiatives.
Responsibilities
- Assist, oversee, and influence business partners and senior business leaders for WMS Products
- Ensure that adequate compliance and risk policies and procedures are developed and implemented
- Understand applicable laws and regulations, analyze their effect on business practices
- Maintain current knowledge of industry practices and developments
- Support and Manage WMS Product compliance and risk initiatives
- Provide coaching/training and actively partner with product and relationship management teams
- Participate in cross organizational initiatives representing WMS Products
- Coordinate and support timely responses to regulatory, internal or external audit requests
Requirements
- Bachelor's degree (or equivalent work experience)
- 5+ years of relevant experience
- Understanding of the regulations and laws that impact the assigned line of business
- Analytical, problem-solving, and synthesizing skills
- Strong Microsoft Excel skills
- Strong communication skills
- Active Series 7
- Active Series 24
Benefits
- vacation time
- sick time
- 401(k)
- health, dental and life insurances
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