Key Responsibilities
Provide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors.
Proactively work with advisors to support their effort to run a compliant practice. This includes:
• Conducting and documenting ongoing 1:1 interactions;
• Providing feedback and documenting observations related to the advisor’s sales activity and suitability of the advisor’s recommendations;
• Inspecting registered offices under your supervision pursuant to Ameriprise Financial policy;
• Administering discipline and education according to processes when appropriate;
• Coaching advisors on supervisory policies and procedures;
• Acting as the main resource for advisors on compliance tasks; and
• Validating appropriate advisor training is taking place.
Proactively detect violations of policy or procedure through:
• Responding to corporate requests to review advisor activity
• Making client calls and
• Analyzing reports and other metrics.
As prescribed by the Written Supervisory Procedures, accurately and completely follow-up,
review and sign-off or reject advisor activity.
Identify and provide response to issues identified by corporate business partners. This includes:
• Working with the Centralized Supervision Unit and Compliance on escalated issues
and supervision plans
• Working with Compliance on complaints
• Working with Legal on investigations and
• Resolving issues identified in field office inspections.
Comply with record keeping processes, required use of certain technology tools and systems,
and other duties as may be assigned from time to time.
Required Qualifications
Knowledge of financial services industry and B/D regulatory rules
-Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals s/he supervises
-Strong oral and written communication skills
- Demonstrated conflict management
- Ability to deliver difficult messages
- Demonstrated ability to influence
-Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasks
- Delivering training experience
- Demonstrated advanced analysis and problem-solving skills
-Active Series 7
-Active Series 24
-Active State IAR registration (S65 or S66)
-Active State securities agent registration (S63 or S66)
Preferred Qualifications
-3-5 years of compliance supervisory experience
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
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
Exempt/Non-Exempt
Job Family Group
Line of Business