Senior Lead Risk Management

5 months ago

Gurugram, India Ameriprise Financial Full time
Person will be responsible for managing 'Risks & Controls' function for the BU which includes identification/ evaluation of new/existing potential risk items, setting-up/ evaluation of new/ existing control structures, testing process/ control effectiveness, and working with various teams/ leadership/ business partners to address opportunity areas and ensuring BU remains compliant on all aspects, on an ongoing basis. Role also demands driving a lot of awareness/ coaching on this front and driving a strong 'Culture of Compliance'.

Key Responsibilities
1) Process/ Procedure Inventory Management - Should have a deep understanding of the business processes/ procedures and ensure -
- Effectiveness and relevance - of processes/ procedures at all times
- Adequacy - Ongoing evaluation to ensure inventory is adequate and covers all existing/ new areas
- Documents review - as per the defined frequencies/ other triggers and enable changes (if applicable), as per process guidelines 

2) Risk & Controls Management - 
- Ongoing risk assessment/ Work with business leaders/ process owners to review/ update Risks & Controls Inventory, on an ongoing basis
- Controls adequacy and effectiveness -Establishing controls/ Ensuring all the controls are working as expected and risks are managed appropriately
- Managing deviations/ risk events, closure of each instance appropriately and also ensuring leadership awareness on BU status, regularly

3) Change Management
- Ensuring process implementation for each applicable item, including pre/ post change implementation steps
- Coordinating with relevant parties to ensure all sign-offs are taken and retained for record purposes
- Maintaining change log and other required evidences as defined in the process and reporting the status to the leadership team

4) Feedback Sharing/ Manage Consequence Management Process
- Provide detailed/constructive feedback on all the relevant process deviations and work with the employees/teams to close the gaps areas
- Implement Consequence Management Process, as applicable, and report status to relevant parties on a regular basis
- Retain data/ evidences as per data retention policy

5) BU Awareness/ Coaching - on updates/ process adherence and driving a stronger culture of compliance. Some examples (but not limited to) are
- Reiteration of critical to-dos using huddles, emails, and other creative methods
- Policy/ Process/ Procedure updates - covers all relevant BU specific as well as organization level areas 
- Themes derived basis the opportunities/ gaps identified from the internal checks

6) Projects & Initiatives - 
- Support as a SPOC on some critical areas like BUCL, LEAN, ADTRAX, ISO etc.
- Value Addition - Suggest/ enable implementation creative ways to enhance control effectiveness, elimination/ minimization of risk etc.
- Other areas - as assigned from time to time
- Other areas - as assigned from time to time

7) Skill-set Upgradation - On an ongoing basis to stay up-to-date on all aspects and ensure support to the teams on all relevant areas and contribute toward value addition

8) Administrative work - responding to emails, managing trainings completion etc.

Required Qualifications
- Graduation
- Should have deep understanding of the business - Policies/ Procedures & Processes and applicable risks/controls 
- Thought Leadership Skills - to manage risks and controls appropriately, think out of the box to eliminate/ minimize risks and enhance efficiency and effectiveness of processes/ controls etc.
- Results Leadership Skills - Should be able to manage execution of KRAs/ Projects/Initiatives, end-to-end and deliver results as expected
- People Leadership Skills - Should be able to drive a strong culture of compliance by working with the employees/ leaders/ business partners
- Self Leadership Skills - Proactive/ Disciplined approach to ensure timely completion of projects/ initiatives, on a consistent basis
- Coaching/ Effective feedback delivery skills
- MS Office skills
- Ability to work independently & manage multiple tasks
- Attitude to go above and beyond to help the team meet/exceed the objectives


Preferred Qualifications

- Series 7

- Skills to contribute toward full/ Partial automation of controls etc.
- Any relevant certification/ qualification 
- Relevant working experience 
- Masters degree or equivalent

About Our Company
Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 125 years. We are a U.S. based financial planning company headquartered in Minneapolis with a global presence. The firm’s focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step and create a career at Ameriprise India LLP.

Ameriprise India LLP is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, genetic information, age, sexual orientation, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Timings

(2:00p-10:30p)

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Business Support & Operations

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