What are the responsibilities and job description for the Audit Manager position at Ameriprise Financial Services, LLC?
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 year-end 2024. Our team of 22,000 people across 19 countries, serves 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.
Job Description
Ameriprise Financial has an exciting opportunity for an Audit Manager to join the team! The individual in this role will plan and execute basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities and presenting 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. Supervise and lead assigned projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work.
Key Responsibilities
Be responsible for planning and executing basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities. Present work objectives and results to various levels of management that focuses on the impact of control deficiencies. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Complete risk assessments in conformance with department standards, generally in moderately complex areas.
Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations. Monitor and validate Management Action Plan status. Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
Supervise and lead assigned projects. Provide leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work. Ensure work is completed within established timelines.
Coordinate with the appropriate control groups in planning and executing assigned work. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.
Recommend changes to Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.
Required Qualifications
Bachelor's degree
3-5 years of experience
2 years of audit experience
Experience with leading multiple projects
Solid knowledge and experience with the 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
Preferred Qualifications
Accounting or Finance degree
4-7 years of professional experience
Certifications Preferred: CIA, CISA, CPA, CFSA
Strong oral and written communication skills
Standard desktop computing skills, Power BI
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Base Pay Salary
The estimated base salary for this role is $93,400 - $128,400 / 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 insurances.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Finance
Line of Business
FIN Finance
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.
We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves 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.
Job Description
Ameriprise Financial has an exciting opportunity for an Audit Manager to join the team! The individual in this role will plan and execute basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities and presenting 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. Supervise and lead assigned projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work.
Key Responsibilities
Be responsible for planning and executing basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities. Present work objectives and results to various levels of management that focuses on the impact of control deficiencies. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Complete risk assessments in conformance with department standards, generally in moderately complex areas.
Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations. Monitor and validate Management Action Plan status. Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
Supervise and lead assigned projects. Provide leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work. Ensure work is completed within established timelines.
Coordinate with the appropriate control groups in planning and executing assigned work. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.
Recommend changes to Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.
Required Qualifications
Bachelor's degree
3-5 years of experience
2 years of audit experience
Experience with leading multiple projects
Solid knowledge and experience with the 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
Preferred Qualifications
Accounting or Finance degree
4-7 years of professional experience
Certifications Preferred: CIA, CISA, CPA, CFSA
Strong oral and written communication skills
Standard desktop computing skills, Power BI
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Base Pay Salary
The estimated base salary for this role is $93,400 - $128,400 / 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 insurances.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Finance
Line of Business
FIN Finance
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.
Salary : $93,400 - $128,400