Sr. Manager, Business Unit Risk & Compliance Liaison - Wealth Management

Location: Minneapolis, Minnesota or Charlotte, North Carolina; office attendance required at least four days per week, with one day per week available to work from home

Base salary: $93,400–$128,400 per year, plus potential variable compensation.

Company

Diversified financial services organization providing financial planning, asset management, insurance, and annuity services to individual, small business, and institutional clients.

What you will do

• Support governance, risk, and control routines across Wealth Management Solutions.
• Prepare regulatory reports, control documentation, dashboards, general ledger reconciliations, and related reporting processes.
• Coordinate governance forums and committee materials covering products, business reviews, risk, conflicts, and Regulation Best Interest.
• Support risk program meetings, Risk Event management, process inventories, Risk and Control Self-Assessments, testing coordination, and annual risk assessments.
• Maintain policy, procedure, supervisory control, books and records, business continuity, and self-monitoring routines.
• Coordinate audit requests, regulatory responses, vendor risk activities, licensing reports, certifications, and contract repository governance while supporting issue resolution and remediation.

Requirements

• 5+ years of experience in financial services, risk management, controls, compliance, audit, broker-dealer operations, or a related field.
• Bachelor’s degree or equivalent experience.
• Active FINRA Series 7 and Series 24 licenses, or ability to obtain them within the established timeframe.
• Ability to influence and partner with leaders and stakeholders across the organization.
• Experience leading initiatives, driving outcomes, managing competing priorities, and meeting deadlines.
• Strong analytical, organizational, time management, written communication, and verbal communication skills; ability to work independently.

Nice to have

• Experience with advisory products, investment products, annuities, insurance, and retirement plans.

Culture & Benefits

• Face-to-face collaboration is a core part of the working model.
• Benefits include vacation time, sick time, 401(k), and health, dental, and life insurance.
• Compensation may include bonuses, commissions, and long-term incentives depending on the role.
• Employment requires valid U.S. work authorization without current or future visa sponsorship needs.