Teams at Ameriprise Financial Services, LLC

Lead and enhance the first Line of Defense risk program for Service & Operations, focusing on trading, regulatory reporting, and operations controls for a clearing broker-dealer. Oversee control design and execution, regulatory reporting (CAT, TRACE, MSRB), counterparty and execution controls, gap remediation, regulatory exam readiness, and stakeholder liaison. Manage and develop a team, drive risk-based decision-making, and promote a strong risk culture across business lines and control functions.

Lead due diligence and ongoing monitoring for hedge funds, private credit, private equity, and real assets. Source and evaluate managers, conduct RFIs, onsite visits, performance and risk analysis, prepare investment recommendations, and collaborate with internal stakeholders and advisors to support investment committee decisions.

Process and reconcile voluntary corporate reorganization events via DTCC; respond to escalated and complex issues; communicate resolutions to stakeholders; monitor reorg inbox, break sheets and control sheets; collaborate with advisors, clients, and partners; process routine and sophisticated transactions accurately and timely; identify and implement process improvements; participate in team projects and cross-train to handle volume.