Ameriprise Financial Services, LLC · 11 hours ago
Senior Regional Risk Manager
Los Angeles, California
Full-time
Hybrid
Mid, Senior Level
$100K/yr - $158K/yr
7+ years expAmeriprise Financial Services, LLC is a diversified financial services leader managing over $1.5 trillion in assets. The Senior Regional Risk Manager will provide risk-based leadership and oversight to reduce regulatory risk in the region, train and support Field Registered Principals, and ensure effective supervision processes are in place.
CommercialConstructionProperty ManagementReal EstateResidential
Responsibilities
Provide oversight through regular, effective, ongoing interactions with Field RPs and second level leaders to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken
Educate, advise, and guide regional leadership on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk. Engage corporate office partners to address risk. Develop effective oversight systems and processes to prioritize and address areas of highest risk. Lead implementation and drive uptake of new supervisory policies, tools, and systems
Train new and existing field leaders and RPs and assess, address, and document the readiness of existing Field RPs to perform the six RP responsibilities of ongoing, risk-based supervision. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the RVP
Act as Strategic Business Partner to field leaders. Partner with RVP and Regional Director of Operations to implement a PMP process for RPs who are not meeting minimum expectations of the RP role, as necessary or appropriate. Prepare and present analysis of risk trends in the region for the semi-annual business line reviews
Qualification
Required
Bachelor's degree or equivalent (4-years)
7 to 10 years relevant experience required
Active FINRA Series 7
Active FINRA Series 24 or ability to obtain within 90 days
Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days
Active State IAR registration (S65 or S66) or ability to obtain within 150 days
Strong knowledge of financial services industry products, services, and financial planning
Working knowledge of Broker/Dealer regulatory issues, Ameriprise's hybrid model, supervisory policies, procedures, and systems
Effective personal presence and the ability to influence through training and personal interactions
Demonstrated effective analytical, diagnostic, investigative, and problem solving skills
Strong oral and written communication skills, demonstrated conflict management and collaborative skills, and ability to lead
Ability to travel 45-75% depending on territory size, numbers of RPs, and need for on-site oversight
Ability to work from an Ameriprise Advisor Group (AAG) Office
Preferred
Demonstrated ability to use technology and tools to gain efficiencies and speed
Self-motivated with the ability to achieve results in an independent environment, aptitude, and comfort with technology
Ability to manage multiple tasks
Strong people and relationship leadership skills
Benefits
Vacation time
Sick time
401(k)
Health, dental and life insurances
Company
Ameriprise Financial Services, LLC
At Ameriprise Financial, we have been helping people feel more confident about their financial future for 130 years.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Angela Grabovsky, CFP®, CRPC®, MBA, APMA®
Private Wealth Advisor, Chief Executive Officer
Anthony C. Barone
Chief Executive Officer,Financial Advisor- The Barone Financial Consulting Group
Recent News
2025-10-03
2025-10-02
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