Senior Audit Manager

Ameriprise Financial Services, LLC

. Plan and execute complex portions of the Risk & Control Services plan, including audit and SOX/MAR/FDICIA compliance activities .

Posted 9/17/2026full-timeMinneapolis • Minnesota • United StatesSenior💰 $122,400 - $168,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Risk Management, Control, and Governance processes, with a strong focus on audit and compliance activities including SOX, MAR, and FDICIA. Proven ability to lead projects, evaluate control deficiencies, and provide actionable recommendations to enhance organizational effectiveness.

Highest-signal resume keywords

Risk ManagementAudit ComplianceProject LeadershipControl Theory ApplicationFinancial Services Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AssessmentControl Deficiency IdentificationGovernance Process EvaluationManagement Action Plan MonitoringAudit Methodologies

Soft Skills

LeadershipCommunicationCollaborationProblem-Solving

Certifications & Qualifications

CIACISACPACFSA

Industry Keywords

SOX ComplianceMAR ComplianceFDICIA ComplianceBroker-DealerFinancial Services

About the role

Key responsibilities & impact

Plan and execute complex portions of the Risk & Control Services plan, including audit and SOX/MAR/FDICIA compliance activities
Present work objectives and results to various levels of management, focusing on the impact of control deficiencies
Evaluate and improve the effectiveness of risk management, control, and governance processes
Identify control deficiencies, assess exposure and significance, and propose cost-effective recommendations
Monitor and validate Management Action Plan status and recommend closure when deficiencies are addressed
Supervise and lead assigned projects
Provide leadership to peers and others as needed
Manage the scope, schedule, and deliverables of assigned work
Communicate and escalate challenges and roadblocks affecting established timelines
Coordinate with appropriate control groups in planning and executing assigned work
Complete risk assessments in complex areas according to department standards
Recommend changes to the Risk and Control Services plan, processes, and methodologies

Requirements

What you’ll need

Bachelor's degree
5+ years of experience
Experience with leading multiple projects
Expanded knowledge/understanding across multiple lines of business and/or develop knowledge/understanding in critical subject matter area
Ability to transfer knowledge and assist others to expand audit skills and business knowledge
Ability to coordinate with appropriate control groups in planning and executing assigned work
Solid knowledge and proper application of control and audit theory
Valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States
Preferred: Finance or Accounting degree
Preferred: Certifications in CIA, CISA, CPA, CFSA
Preferred: Financial Services experience
Preferred: Broker-Dealer experience

Benefits

Comp & perks

Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role
Vacation time
Sick time
401(k)
Health insurance
Dental insurance
Life insurance
Flexible work arrangement: work from home one (1) day per week
Reasonable accommodation support during recruitment and interviews