Title: Director-Risk Management Location: Minneapolis, Minnesota - Charlotte, North Carolina. Full time Hybrid Job Description: 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 Lead, execute, and continuously enhance the first Line of Defense (LOD) risk management program for the Service & Operations (S&O) organization, with a focus on Trading, Regulatory Reporting, and Operations control functions within a clearing broker-dealer. Ensure alignment with the enterprise risk framework, including oversight of regulatory, operational, financial, and compliance risks. Drive risk-based decision-making, maintain regulatory adherence, and ensure effective control design and execution. Serve as a key liaison across business lines and second and third Lines of Defense (Compliance, Risk, Legal, Internal Audit), while providing leadership, guidance, and coaching. The position will be available to candidates in Minneapolis MN and Charlotte NC. Key Responsibilities - Provide direct oversight of risk and control functions across Trading (Equities, Options, Fixed Income, Managed Accounts) and Operations to ensure controls are designed and operating effectively to mitigate operational, financial, and regulatory risk - Execute and supervise key trading and operational controls, including: – Counterparty risk reviews – Mark-up/mark-down practices – Execution quality monitoring – Trading-related supervisory controls - Oversee regulatory reporting and control functions, including: – Consolidated Audit Trail (CAT) – TRACE and MSRB transaction reporting – Trading activity fees – General ledger reconciliations - Monitor and evaluate regulatory developments impacting clearing and introducing broker-dealers and assess business impact - Act as a primary liaison with Trading, Operations, Internal Audit, Compliance, Legal, and regulators, including participation in industry advocacy efforts - Identify control gaps and deficiencies, assess risk exposure and materiality, and implement cost-effective remediation strategies - Promote continuous improvement and a strong risk awareness culture across the organization - Lead and develop a team of risk professionals, including performance management, coaching, mentoring, and career development - Foster a culture of accountability, risk awareness, and continuous improvement Required Qualifications - Bachelor’s degree or equivalent experience - 10+ years of financial services experience with a focus on risk management, controls, and broker-dealer operations - Active FINRA Series 7 and Series 24 licenses - FINRA Series 53 (or ability to obtain within 120 days) - Strong knowledge of clearing broker-dealer regulations, equity and fixed income trading processes, and regulatory reporting frameworks (e.g., TRACE, CAT, MSRB) - Experience with risk programs (RCSA, issue management, change management) - Experience with regulatory exams, audits, and supervisory controls - Proven ability to influence and collaborate across business lines and external stakeholders - Prior team leadership experience Preferred Qualifications - Experience with financial and regulatory reporting - Knowledge of Operations Control functions (e.g., customer protection, break/fail monitoring) - Experience with advisory products - Background in trading or operations risk environments - Experience with treasury and regulatory reporting Visa Sponsorship Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN). In-Office Collaboration We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process. Base Pay Salary The estimated base salary for this role is $131,000 - $180,100 a 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. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Business Support & Operations Line of Business CLEAR Clearing Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law. We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.

Develop and implement clinical care plans for patients with chronic illnesses, perform patient assessments, monitor progress, and maintain communication with physicians to ensure optimal patient care and resource coordination.

• Responsible for the fiduciary oversight, functional evaluation, and governance of MissionSquare’s GPAS platform and all managed account programs • Conduct due-diligence testing, analyzing risk and performance trends, and documenting functional requirements • Strengthen operational controls and partner cross-functionally with third-party vendors • Maintain and update GPAS oversight documentation • Conduct fiduciary due-diligence testing across all in-plan managed account programs • Identify emerging risk trends, perform root cause analysis, and recommend solutions • Perform functional and user acceptance testing (UAT) for system and process changes • Evaluate business processes and system workflows, identify functional gaps, and recommend improvements • Serve as the functional subject matter liaison between GPAS teams and third-party vendors • Define and document reporting and data requirements for fiduciary oversight, client needs, and internal reporting • Prepare materials and reporting for the GPAS Committee • Respond to FCC inquiries, providing validated documentation and testing results • Assess functional and risk impacts of proposed changes to GPAS processes

• Support program Risk Manager in the area of Program Risk Management • Prepare risk management plans and processes fit for the Program and Projects • Develop and organize risk mitigation plans • Develop tracking mechanisms to control effectiveness of risk management • Assist in the execution and maintenance of program risk management service framework • Recognize and manage program risks in area of responsibility • Effectively facilitate risk interviews and run workshops • Work and collaborate with business customers, Functional managers, project managers and engineers • Assist in the development of program specific risk management plans • Organize and facilitate Construction risk mitigation meetings • Review program documents, analyze program data and develop Program and Project Risk Registers • Develop quantitative integrated cost and schedule Program risk models using risk software