Director Financial Institution Conversions
Job Description
Key Responsibilities
- Lead a team of professionals providing complex operations activities to advisors, including regulatory supervision to ensure that compliance and regulatory requirements are met. Ensure timely and accurate resolution of escalated advisor issues. Develop and manage cost effective, efficient and compliant operational strategies to ensure advisor and client's needs are met. Manage department P&L, focusing on managing controllable expenses, including vendors.
- Manage relationships with a variety of internal and external business partners and advisors to identify root cause of operational and service issues. Implement solutions to increase advisor and client satisfaction, while ensuring all operational, financial, and regulatory requirements are met.
- Provide thought leadership on process improvements and business transformation activities. Ensure effective implementation of strategies.
- Provide effective people leadership through effective coaching, feedback and sound performance management practices. Act as champion for the team and intervene on matters that create roadblocks to individual or organizational success. Set department initiatives and aligns and sets individual performance goals.
Required Qualifications
- 7-10 years of relevant experience
- Associate degree or equivalent (2-years)
- Broker Dealer and/or tape to tape experience required
- Active FINRA Series 7
Preferred Qualifications
- Strong relationship management/influencing skills
- Ability to analyze root cause and implement solutions
- Demonstrated ability to lead cross-functional process improvement teams
- Previous people leadership experience
- Bachelor's degree or equivalent (4-years)
- Strong working knowledge of Operations techniques (DTC or settlement experience is a plus)
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Base Pay Salary
The estimated base salary for this role is $122,400 - $165,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurancesAmeriprise 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.
Full-Time/Part-Time
Full timeExempt/Non-Exempt
ExemptJob Family Group
Business Support & OperationsLine of Business
CLEAR ClearingKey Responsibilities
- Lead a team of professionals providing complex operations activities to advisors, including regulatory supervision to ensure that compliance and regulatory requirements are met. Ensure timely and accurate resolution of escalated advisor issues. Develop and manage cost effective, efficient and compliant operational strategies to ensure advisor and client's needs are met. Manage department P&L, focusing on managing controllable expenses, including vendors.
- Manage relationships with a variety of internal and external business partners and advisors to identify root cause of operational and service issues. Implement solutions to increase advisor and client satisfaction, while ensuring all operational, financial, and regulatory requirements are met.
- Provide thought leadership on process improvements and business transformation activities. Ensure effective implementation of strategies.
- Provide effective people leadership through effective coaching, feedback and sound performance management practices. Act as champion for the team and intervene on matters that create roadblocks to individual or organizational success. Set department initiatives and aligns and sets individual performance goals.
Required Qualifications
- 7-10 years of relevant experience
- Associate degree or equivalent (2-years)
- Broker Dealer and/or tape to tape experience required
- Active FINRA Series 7
Preferred Qualifications
- Strong relationship management/influencing skills
- Ability to analyze root cause and implement solutions
- Demonstrated ability to lead cross-functional process improvement teams
- Previous people leadership experience
- Bachelor's degree or equivalent (4-years)
- Strong working knowledge of Operations techniques (DTC or settlement experience is a plus)
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Base Pay Salary
The estimated base salary for this role is $122,400 - $165,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurancesAmeriprise 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.
Full-Time/Part-Time
Full timeExempt/Non-Exempt
ExemptJob Family Group
Business Support & OperationsLine of Business
CLEAR Clearing
About Ameriprise Financial
For 125 years, we have remained true to our vision of putting our clients' interests first. We are passionate about helping you live the full and rich life you’ve earned and committed to helping you be brilliant.
A company with integrity.
Integrity has been a core value since we were founded by John Tappan in 1894. It's how, through panics, recessions, the Great Depression, and the recent Great Recession, we've grown into a global financial leader. We've never lost our focus on our clients. That's who we are.
We have more than $875 billion in assets under management and administration.
We maintain leadership positions in each of our core business segments: Advice & Wealth Management, Asset Management, Annuities, and Protection.
We have more than 2 million individual, business, and institutional clients.
Our Leaders
Part of our strength as a company comes from the strength of our leadership—an experienced and long-tenured team.
Our Locations
Ameriprise Financial was founded and is headquartered in Minneapolis. We also have corporate offices throughout the United States and across the globe, including New York, Boston, London, and India.
Our History
Since 1894, we at Ameriprise Financial have been helping millions of clients invest towards their financial goals and dreams.
Related Jobs
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
Ameriprise Financial would like you to finish the application on their website.
