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
The Senior Manager is responsible for leading key regulatory, operational, and financial processes that support compliant rate governance, accurate disclosures, and strong business continuity practices. This role provides enterprise‑level oversight across SOX‑sensitive audits, revenue and rate updates, disclosure reporting, and contract management, partnering closely with Finance, Accounts Receivable, Compliance, Legal, Operations, and Product teams.
The successful candidate will serve as a thought leader, shaping strategic direction for rate governance, regulatory reporting, and operational controls across WMS Products and Platforms. This role influences cross‑functional decision‑making, champions process innovation, and sets the vision for scalable, future‑ready operational frameworks.
Key Responsibilities
Lead rate governance processes, including quarterly and annual rate audits, rate change reviews, accounts receivable reconciliations to validate rate accuracy, and oversight of fund/manager fee updates aligned with cost‑reimbursement programs across products and managers, while driving automation and enhancements to SOX controls.
Serve as a thought leader by proactively identifying emerging trends, risks, and industry shifts, translating them into strategic recommendations that strengthen operational readiness and regulatory alignment.
Manage regulatory and disclosure activities, including revenue‑sharing, OIBD and website updates, 5% disclosures, monthly FINRA 2241/2242 communications, and the annual Board of Directors presentation.
Conduct quarterly DOL commission reporting, OC5 cost reimbursement reporting, and support annual and mid‑year audit cycles.
Guide contract management workflows within Liferay and coordinate updates related to WMS regulatory enhancements
Maintain the business continuity plan and communication protocols, while driving continuous improvement and elevating organizational preparedness.
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