Plan and execute portions of the Risk & Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities, present objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control and governance processes. Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations.

Responsibilities

• Plan and execute portions of the Risk & Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities. Present objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control and governance processes.
• Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations.
• Gather information and provide input into risk assessments in conformance with department standards, generally in less complex areas.
• Monitor and validate Management Action Plan status and recommend closure of Management Action Plans when actions are complete and identified deficiencies have been addressed.
• Coordinate with appropriate control groups in planning, and executing assigned work. Complete work within established time lines. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established time lines.

Required Qualifications

• Bachelors degree or equivalent (4-years)
• Relevant Experience Required: 1 to 3 years
• Registration Requirements (FINRA Licenses Required): None

REQUIRED Additional knowledge, skills, experience or training:

• Availability to travel.
• 1-3 years in public accounting, internal audit, technology audit or related financial services field.
• Demonstrated proficiency in basic audit skills and business knowledge.
• Demonstrated aptitude for project leadership.

Preferred Qualifications

• Bachelors degree or equivalent (4-years)
• Preferred: Accounting, Finance, or related
• Certifications Preferred: CIA, CISA, CPA, CFSA

PREFERRED Additional knowledge, skills, experience or training:

• 2-4 years of professional experience.
• Strong oral and written communication skills.
• Standard desktop computing skills.

About Our Company

At Ameriprise Financial, 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 by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.