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. 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.
- Bachelors degree or equivalent
- 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
- Availability to travel
About Our Company
- CIA, CISA, CPA, CFSA,CRMA
- 4-7 years of professional experience
- Strong oral and written communication skills
- Standard desktop computing skills, PowerBI
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.
- Certification In Risk Management Assurance
- Certified Financial Services Auditor
- Certified Information Security Manager
- Certified Public Accountant