Plans and executes basic to complex portions of the Risk & Control Services plan, including audit activities and SOX/MAR compliance activities, presenting objectives and results to various levels of management. Executes on a structured approach to evaluate and improve the effectiveness of risk management, control and governance processes. Supervises and leads assigned projects. Provides leadership to peers and others as needed in the work assigned. Manages the scope, schedule and deliverables of assigned work. Responsibilities
Responsible for planning and executing basic to complex portions of the Risk & Control Services plan including audit activities and SOX/MAR compliance activities. Presents work objectives and results to various levels of management, focusing on impact of control deficiencies. Executes on a structured approach to evaluate and improve the effectiveness of risk management, control and governance processes. Completes risk assessments in conformance with department standards, generally in moderately complex areas.
Identifies control deficiencies, assesses exposure and significance, and proposes cost effective recommendations. Monitors and validates Management Action Plan status. Recommends closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
Supervises and leads assigned projects. Provides leadership to peers and others as needed in the work assigned. Manages the scope, schedule and deliverables of assigned work. Ensures work is completed within established timelines.
Coordinates with appropriate control groups in planning, and executing assigned work. Proactively communicates/escalates challenges and roadblocks that impact ability to meet established timelines.
Recommends changes to Risk & Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommends changes to Risk & Control Services processes and methodologies as appropriate. Required Qualifications
• Bachelor's degree (Accounting, Finance, or related field).
• 3-5 years of experience.
• Experience leading multiple projects.
• Solid knowledge and proper application of control and audit theory.
• Demonstrated proficiency in project leadership skills.
• Ability to assist staff/Sr. Auditors to improve basic audit skills and business knowledge.
• Availability to travel (up to 15%). Preferred Qualifications
• Experience with banking, financial services and/or broker-dealer functions and related compliance requirements.
• CIA, CISA, CPA, CFSA, CFIRS About Our Company
With the right company, life can be brilliant. At Ameriprise, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You'll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.