The open role will have responsibility for supporting and executing the Reserve Bank’s supervisory plan of Ameriprise Financial, Inc. (Ameriprise). The successful candidate for this role will have the opportunity to actively participate in high profile inspection activities through assessment of the firm’s IT risks and risk management along with the firm’s internal audit program. This includes, for example, evaluating the effectiveness of the institution’s IT risk identification and control validation processes, governance and oversight, information/cyber security program, business continuity/resiliency, and the effectiveness of internal audit oversight and plan execution.
Ameriprise, headquartered in Minneapolis, Minnesota, is a holding company with $13 billion of annual revenue and $973 billion of assets under management and administration at year-end. Ameriprise offers a wide array of wealth management products and services for individuals including financial planning, managed accounts, life insurance, annuities, and estate planning. It also provides institutional asset management services, including a large family of mutual funds that it offers through affiliates and third parties.
- Leads and manages supervisory events, including determining scope, rating, resource needs, and work assignments.
- Drafts, reviews, organizes, verifies, and evaluates supervisory event documents prepared by self and others.
- Communicates, describes, supports, and discusses findings of supervisory events with Reserve Bank and supervised institution management.
- Analyzes supervised institution performance regarding laws, regulations, and regulatory policies and supports conclusions about overall status of supervised institution.
- When in a leadership role on an examination, provides training, work direction, and feedback to assisting examiners.
- Ensures effective supervision of a risk area(s) Ameriprise specific to Information Technology, cyber security, and/or internal audit. The supervision includes: preparing a comprehensive and independent risk assessment; developing, documenting and implementing a supervisory strategy; following up on examination findings and enforcement actions; and conducting ongoing monitoring.
- Develops and maintains productive working relationships with management at Ameriprise through regular and in-depth discussions to understand changes in strategy, issues, and challenges facing the institution.
- Maintains effective communication with Ameriprise, the Board of Governors, and Reserve Bank management related to various institution developments, examination findings, changes in major product lines and in risk characteristics.
- Seeks out and participates in opportunities, including assisting with System or Reserve Bank special projects.
- Safeguards equipment, sensitive data, and resources according to the SRC Information Security and Data Handling Handbook.
- Handles records in accordance with the System Records Retention Manual compliance plan.
- Performs other duties as assigned.
- Bachelor's degree in a related field.
- Examiner credentials. In lieu of examiner credentials, specialized expertise in complex examinations areas as determined by SRC Management.
- Examiner: At least 4 years of financial services, banking regulations, examinations, and/or expertise in a financial services or other relevant specialty.
- Senior Examiner: Substantial related experience (6 years) in financial services, banking regulations, examinations, and/or a high level of expertise in a financial services or other relevant specialty.
- Strong written, verbal, and interpersonal communication skills.
- Strong analytical skills and detail-orientation.
- Ability to travel up to 25%.
- Valid driver’s license with acceptable driving record.
- Eligible to obtain Examiner or Special Examiner credentials. An acceptable statement of financial interest is required.
- Strong IT experience in areas such as information/cyber security, vendor risk management and/or business continuity planning.
- Audit or risk management experience in IT or related field.
- CISA and/or CISSP certification.
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