Sr Mgr-Business Analyst (Rate Lead)

Responsibilities

• Serve as a thought leader by proactively identifying emerging trends, risks, and industry shifts, translating them into strategic recommendations that strengthen operational readiness and regulatory alignment.
• Manage regulatory and disclosure activities, including revenue‑sharing, OIBD and website updates, 5% disclosures, monthly FINRA 2241/2242 communications, and the annual Board of Directors presentation.
• Conduct quarterly DOL commission reporting, OC5 cost reimbursement reporting, and support annual and mid‑year audit cycles.
• Guide contract management workflows within Liferay and coordinate updates related to WMS regulatory enhancements
• Maintain the business continuity plan and communication protocols, while driving continuous improvement and elevating organizational preparedness.
• Champion operational excellence, fostering a culture of innovation and control‑strengthening across teams. Lead cross‑functional initiatives to enhance processes, improve data integrity, and ensure accurate and compliant regulatory reporting.
• Influence organizational strategy by providing expert insights, framing complex issues for senior leaders, and driving alignment across Finance, Operations, Legal, Compliance, and Product.
• Required Qualifications: Ideal Candidate

Requirements

• 5+ years of experience in financial services, asset management, brokerage operations, or a related regulatory or financial operations environment.
• Demonstrated knowledge of regulatory frameworks such as FINRA, DOL, SEC, or SOX, with experience supporting audits or control‑sensitive processes.
• Strong analytical and data validation skills, including proficiency with Excel or similar reporting tools.
• Experience with disclosure reporting, fee/rate governance, revenue sharing processes, or other financial oversight functions.
• Familiarity with contract management systems (Liferay or comparable platforms).
• Proven ability to manage cross‑functional initiatives, influence stakeholders, and lead process or automation improvements.
• Exceptional attention to detail, organizational discipline, and ability to manage recurring regulatory deadlines.
• Strong written and verbal communication skills, with the ability to simplify complex regulatory or operational requirements.
• Bachelor's degree required; advanced degree or certifications (e.g., MBA, CPA, CRCM, PMP, or Lean/Six Sigma) preferred.
• Licenses Required: Series 7
• 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

Benefits

Additional Information

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 The Senior Manager is responsible for leading key regulatory, operational, and financial processes that support compliant rate governance, accurate disclosures, and strong business continuity practices. This role provides enterprise‑level oversight across SOX‑sensitive audits, revenue and rate updates, disclosure reporting, and contract management, partnering closely with Finance, Accounts Receivable, Compliance, Legal, Operations, and Product teams. The successful candidate will serve as a thought leader, shaping strategic direction for rate governance, regulatory reporting, and operational controls across WMS Products and Platforms. This role influences cross‑functional decision‑making, champions process innovation, and sets the vision for scalable, future‑ready operational frameworks.

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