Job Listing
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| Job ID: 13894594 |
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| Job Location: |
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Public Transportation is Available.
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| How to Apply: | To see employer contact information, log in or register. |
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| Job Title: | Senior Vice President, Head of Clearing Operations (R24_0000000130) |
| Work Type: | Work Days: Weekdays, Work Vary: No , Shift: First (Day), Hours Per Week: 40, Work Type: Regular |
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| Salary Offered: | Minimum $15.00 Hourly |
| Benefits: | Unspecified. |
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| Physical Required: | Unspecified |
| Drug Testing Required: | Unspecified |
| Education Required: | Associate's Degree |
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| Experience Required: | 24 Months |
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| Required Skills: | 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 ClearingPDN-9b1c4def-cce2-4264-bc82-736bcc52cce2 |
| Preferred Skills: |
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| Job Description: |
The Senior Vice President, Head of Clearing Operations provides overall senior leadership for the Operations organization consisting of 500 employees across Minneapolis, Las Vegas as well as partners in India. Responsible for regulatory compliance, strategic development, direction, and management of all day-to-day operational activities, including closing gaps and mitigating risk and exposure. Accountable for supporting systems, product enhancements, and integrations by collaborating with key business partners to ensure operational excellence.
Key Responsibilities
Lead Operations, accountable for daily operations of clearing broker/dealer including custody and possession or control of client assets. Functions include Clearing, Settlement, Transfers, Cashiering, Money Movement, Securities Processing, Trading, Margin & Pledge Lending, Document Operations, Managed Account Processing, Output Processing/Client Communications, Experienced Advisor Recruit support, Acquisitions and Bank Operations.
Provide strategic direction for the Operations organization and adapt strategies to changing circumstances as required. Clearly communicate the strategic direction of Operations to the team and key partners.
Direct the execution of successful integration and implementation of all new products, product enhancements, including system and platform upgrades and changes.
Lead projects as assigned, on time & within budget, including cross team/department projects as required.
Manage key business relationships with outside vendors, regulatory agencies, and other Ameriprise business units (Products, Technology, Compliance, Legal).
Ensure effective controls are present, tested and maintained/updated to proactively manage risk and remain in compliance with all industry regulations and company policies and procedures.
Manage an efficient and effective team with a focus on budget, process efficiency, quality improvement, and a high standard of service for areas of responsibility.
Required Qualifications
10+ years of experience in self-clearing brokerage operations, including demonstrated leadership experience
Extensive knowledge of regulatory requirements applicable to the brokerage industry and a strong understanding of risk and business controls
Proven ability to lead, manage and influence large groups of people, including leading leaders.
Ability to think strategically, creatively, and drive innovation with a focus on continuous improvement
Ability to maximize relationships, build trust, and communicate effectively across business units, staff groups, and geographic locations
Must demonstrate accountability, and focus on client needs and creating value for the shareholder
Build and develop talent and manage performance of assigned team(s)
Effectively manage and lead through change
Bachelor's degree or equivalent
FINRA Series 7, 24 and 27
Preferred Qualifications
The successful candidate is an experienced, confident leader who is comfortable and effective at all levels of the organization. The ideal candidate is approachable and comfortable operating in a team-oriented culture. The ideal candidate possesses the following characteristics:
Strong people leadership, relationship leadership, results leadership and thought leadership.
Proven general brokerage operations management skills including strategy development, and integrations, as well as risk assessment.
Capable of influencing key stakeholders across the enterprise and having a meaningful impact on the strategic direction of Operations.
Known for building and fostering strong relationships with business partners and can influence upward and across a large organization.
Agility to pivot seamlessly between tactical/detail and strategic/conceptual situations.
About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing 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 Services, 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.
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