Mgr - operations - l

Leadership Role In P&S Trade Clearance And Occ Settlement

We are seeking a seasoned leader to oversee and manage all aspects of P&S trade clearance and OCC settlement functions. This leadership role is responsible for ensuring accuracy, compliance, and efficiency in clearing and settlement processes, while maintaining strong regulatory and business relationships.

Key responsibilities:

• Oversee daily balancing of OCC positions and monitor trade activity for errors.
• Manage clearing of trades via DTCC/CNS and pledge securities to OCC.
• Maintain strong internal and external business partnerships.
• Serve as the primary liaison for OCC, staying informed on regulatory changes, technology updates, and project initiatives.
• Host quarterly LOPR meetings and represent the organization with a mature executive presence.
• Lead and develop a high-performing team, delegating responsibilities across multiple Written Supervisory Procedures (WSPs).
• Drive operational excellence and manage additional Clearing Operations responsibilities as needed.

Required qualifications:

• FINRA Series 7 and Series 4 licenses.

Preferred qualifications:

• FINRA Series 24 license.
• Proven experience in clearing operations, regulatory compliance, and risk management.
• Strong leadership skills with the ability to influence and collaborate across teams.
• Excellent communication and relationship management skills.

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 $87,400-$120,200/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: Business Support & Operations

Line of business: CLEAR Clearing