Provide front line supervision for one region of the personal practices of Complex Directors and Branch Managers. Act as interim Registered Principal (RP) in offices/Office of Supervisory Jurisdictions (OSJs) where no individual is currently in the role.

Key Responsibilities

Conduct front line supervision for one region on the personal practices of Complex Directors, Branch Managers, advisors in compensation sharing arrangements/team practices with Complex Directors/Branch Managers and advisors in the complex office. Conduct on-site supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place.

Act as interim RP when an office is without a leader due to transition or leave of absence. Conduct the supervision of all advisor practices in the office while the leader is replaced (scope could be very large). Ensure the appropriate supervision continues while the office is in transition.

Document findings in appropriate tools, such as RP Doc Tool and Supervisory Scorecard, and address issues with producing leaders and advisors of supervisory activities. Communicate with next level leaders and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.

Provide support and guidance to field leaders regarding supervisory policies and processes. Provide feedback and input on practices for Complex Directors and Branch Managers.

Required Qualifications:

Bachelor's Degree or equivalent.

5 - 7 years relevant experience required.

Active Series 7.

Active Series 24.

Active State Securities Agent Registration (S63 or S66)

Active State IAR registration (S65 or S66).

Strong knowledge of financial services industry, Ameriprise products and services, and the financial planning process.

Strong knowledge of B/D regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures.

Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals being supervised.

Strong oral and written communication skills demonstrated conflict management, and ability to lead.

Self-motivated with the ability to achieve results in an independent environment.

Aptitude with technology and ability to manage multiple tasks.

Training and delivery experience.

Demonstrated advanced analysis and problem-solving skills.

Direct supervisory experience.

Ability to work in Field or Corporate office.

Ability to travel to region offices 25-50% of the time.

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

The estimated base salary for this role is $77,100 - $133,100 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

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

Legal Affairs

Line of Business  

AAG Ameriprise Advisor Group