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Vice President, Broker Dealer and Holding Company Financial Reporting
1 month ago
As the VP, Broker Dealer and Holding Company Financial Reporting, you will lead teams that manage financial activities in accordance with FINRA, SEC, and other regulatory requirements. Adhering to a high system of control and compliance is critical, as this role has primary accountability for the proper recognition and reporting of financial activities that support the enterprise accounting close and ensures all the necessary corresponding internal and regulatory controls are in place and operating effectively. This includes ensuring timely and accurate preparation of US GAAP and regulatory financial statements and the oversight of regulator and external audit relationships.
Key Responsibilities:
Accountability for overall Broker Dealer and Holding Company accounting and reporting along with the creation, implementation and maintenance of entity-specific internal controls and WSPs. In addition, a successful candidate will:
30% - Support broker dealer accounting policy and technical issues in accordance with regulatory requirements and in compliance with enterprise policies. This will include consulting with the enterprise accounting policy office, where applicable, in reaching appropriate conclusions.
25% - Maintain a high level of control, compliance, and management of all financial activities necessary to support the requirements associated with our Broker Dealers and Holding Company. Manage relationships across the organization and provide advice, accounting expertise and analyses that provide management with information vital to decision-making.
20% - Perform analysis to support an accurate and robust accounting close. Partner with LFO and Operations as appropriate. Support corporate external reporting for segment level information in accurate, complete and timely filing of regulatory requirements, including Forms 10-Q and 10-K.
15% - Work closely with Corporate and other partners to support their activities and initiatives. Provide AWM segment M&A support and corresponding purchase accounting. Lead projects, as assigned, on time and within budget, including cross team/department projects. Clearly communicate within teams and across the enterprise in completion of responsibilities.
10% - Provide strong leadership in effectively developing, coaching and managing teams responsible for the accounting, internal controls, reporting and associated business activities.
Required Qualifications:
Bachelor's degree in Accounting or Finance, or equivalent experience.
At least 10 years' experience working in complex environment and effectively leading teams.
Strong familiarity with U.S. GAAP and execution of regulatory accounting requirements.
Strong communication skills.
Strong collaboration skills and experience working with business partners across all areas of the organization, including ability to influence at the senior management levels.
Strong knowledge of financial services industries (asset management, wealth management, or insurance).
Demonstrated decision-making skills, ability to prioritize tasks to understand the impact to the business and develop best practices.
Knowledge of internal controls over financial reporting.
Strategic and independent thinker with the ability to quickly adapt to change.
An ability to influence without authority.
Series 27 designation or would be required to be obtained in a short period of time once hired.
Preferred Qualifications:
CPA or related designation
Masters degree
Prior experience coming from public accounting and supporting either highly matrixed or global organizations is a plus
About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.
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.
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