The Vice President, Global Controller, Advice and Wealth Management oversees all accounting and regulatory financial reporting for the broker-dealer entity, ensuring compliance with SEC/FINRA rules while providing accurate and timely financial information to executive leadership. This position has primary accountability for the proper recognition of financial activities for the Advice and Wealth Management business segment.  This role also functions as the Chief Financial Officer for all Advice and Wealth Management legal entities and serves in the signatory role for regulatory purposes of our broker dealers and bank requirements.  The role is responsible for ensuring integrity of financial statements and controls of the Advice and Wealth Management business as well as regulatory reporting requirements (in conjunction with Ameriprise financial leadership) from a legal entity perspective.  The position will also partner closely with many leaders in the organization in support of successful execution of business strategies and activities, including insightful review and analysis of proposed strategies. It is essential to have a collaborative mindset, ability to work in a matrix environment, and desire to influence at a senior leadership level. Reporting into the Senior Vice President, Corporate Controller, this role has primary accountability for overall Advice and Wealth Management segment level accounting and reporting as well as broad financial ownership from a legal entity, capital and regulatory perspective.

Responsibilities:

Ensure complete, accurate, and timely financial reporting to relevant legal entity Boards, committees and regulators in line with relevant requirements.Assume Board positions for all key Advice and Wealth Management legal entities in order to ensure effective and strategic financial management. Manage segment level accounting policy and technical issues in accordance with requirements and in compliance with enterprise policies. This will include consulting with the enterprise accounting policy office, where applicable, in reaching appropriate conclusions.Maintain a high level of control, compliance, and management of all financial activities necessary to support a strong operating environment and adherence to regulatory requirements.Perform segment reporting and analysis to support an accurate and robust accounting close. Includes proactive partnership with other key finance functions (tax, treasury, FP&A).Support corporate external reporting for segment level information in accurately, completely and timely filing of regulatory requirements, including statutory reporting and Ameriprise Forms 10-Q and 10-K.Work closely with Corporate and other partners to support their activities and initiatives.Regular, proactive engagement with functional area partners to keep abreast of and best support their areas and initiatives.Provide strong leadership in effectively developing, coaching and managing global teams responsible for the accounting, internal controls, reporting and associated business activities for the segment.Clearly communicate within teams and across the enterprise in completion of responsibilities.Lead projects, as assigned, on time and within budget, including cross team/department projects.Provide effective leadership to direct reports incorporating performance management practices through individual performance plans, periodic reviews and feedback sessions, coaching and development.

Qualifications & Experience:

Bachelor’s degree in accounting, finance or related field; master’s degree preferred.Minimum of 15+ years progressive accounting/finance experience, with at least 5 years of hands-on broker-dealer accounting and month end close experience as well as direct preparation/review of FOCUS reports, Net Capital computations and customer reserve computations.Proven track record and deep knowledge of U.S GAAP and regulatory capital requirements; with SEC Rule 15c3-1 (net capital) & 15c3-3 (customer protection)Prior experience responding to FINRA/SEC inquiries or examsA proven track record of experience with broker dealer and bank accounting and reporting requirements.Proven success leading global finance teams in a matrixed organizationBroker/Dealer specific regulatory expertise. FINRA Series 27 and Series 99 required (ability to obtain within regulatory timeframe).Prior public accounting experience preferredGlobal and divisional leadership skills and experience working with business partners across all areas of the organization, including ability to influence at the senior management levels.Familiarity with global regulatory frameworks impacting wealth management entitiesDemonstrated decision-making skills, ability to prioritize tasks to understand the impact to the business and develop best practices.Chartered Accountant or related designation, preferred.

The preferred candidate will combine strong technical authority with the flexibility to work hands on when deadlines demand and have a proven track record of finance leadership. They will be an exceptional communicator, adept at engaging with regulators, auditors, and executive leadership, and will remain calm under pressure. This individual will possess a meticulous attention to detail, a strong control mindset, and unwavering integrity, ensuring accuracy, compliance and the highest standards of financial stewardship. The preferred candidate is an experienced, confident leader who is comfortable and effective at all levels of the organization and possesses the following leadership competencies:

Results-oriented, accountable, and focused on client needs and creating value for the shareholder.Build and develop top talent as well as effectively manage and lead through change.Ability to build and manage internal and external relationships; establish trust and communicate effectively.Strong people leadership, relationship leadership, results leadership and thought leadership.Proven general management skills with a successful track record of building and maintaining a best-in-class team. Superior leadership presence, interpersonal and communications skillsCapable of influencing key stakeholders across the enterpriseKnown for building and fostering strong relationships with business partners and can influence upward and across a large organization.

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 $240,000 - $300,000 / 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.

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.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Finance

Line of Business  

FIN Finance