Vice President, Business Risk and Controls Vice President, Business Risk and Controls …

Ameriprise Financial, Inc.
à Boston, MA, États-Unis
CDI, Plein-temps
Dernière candidature, 16 janv. 21
Ameriprise Financial, Inc.
à Boston, MA, États-Unis
CDI, Plein-temps
Dernière candidature, 16 janv. 21
Vice President, Business Risk and Controls
Job Description

In this role you will advise and support business/functional heads for Global Operations & Investor Services (GOIS) in discharging their first-line risk management obligations in line with policy and regulation. You will be responsible for effective implementation of the GOIS risk program.


  • Supports business head in developing their risk-related "Tone from Top" messaging by recommending/scripting messaging based on review of trends and issues. Inputs to objective setting and appraisals as they relate to risk and controls.
Operating Soundness:
  • Reviews inventories/maps/key risk indicators that are impacted by risk events, change programs or other events which may cause them to be updated and reissued - propose updates to inventory/map/KRI owners.
  • Writes/reviews select policies and procedures, coordinating with business unit and functional colleagues as required.
  • Runs tracker or project management for controls remediation projects.
  • Coordinates BCP and operational resilience exercises.
Operational Risk Management:
  • Coordinates and performs risk assessment activities and RCC deep dives, prepares recommendations for presentation to business unit/functional heads.
  • Ensures timely and accurate REV recording and proposes escalation.
  • Oversees REV action remediation.
  • Reviews risk trends and recommends actions.
  • Conducts risk-based testing.
  • Coordinates responses to findings from RLO testing, RCS assurance or SOX testing.
  • Supports preparation of agenda/papers for business/function control meetings.
  • Supports preparation of updates for RCC where required for escalation purposes.
Risk Expertise:
  • Reviews internal and industry best practices, risk/compliance guidance, champions 2nd line risk initiatives, makes recommendations to business unit/functional head.

Required Qualifications

  • Bachelor's degree.
  • 10+ years of relevant work experience.
  • Risk/Control expertise: advanced knowledge of current techniques in operational risk management, controls and operational soundness, ability to review best practices within Columbia Threadneedle Investments and in the industry and make changes to the business unit/function risk positioning, and, if needed, risk/control environment accordingly.
  • Analysis: ability to assess data points (e.g. inherent risk, crystallized risk, emerging risks, control effectiveness) to propose an actionable plan to bring data points into tolerance.
  • Testing: knowledge of current techniques in control assurance, ability to devise testing program and lead testers.
  • Oversight: ability to put in place oversight mechanisms, and oversee business unit/function deliverables with respect to the control environment are met timely and to quality.
  • Governance: ability to design governance framework that support business unit/function head in understanding and actioning of key issues in the operational risk and control environment of their business; ability to propose and execute such escalations as are required.
  • Influence: ability to influence senior management in the business unit/function to deliver on their operational risk responsibilities; ability to champion, effectively, the success of second-line initiatives in their business unit.

Preferred Qualifications

  • 5-10 years in an audit function, operational risk, controls, or business management.
  • Masters degree.
  • Internal and external working relationships.
  • Experience leading an operational risk and controls organization.
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