Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager – SPS Advisor is responsible for supervision on discretionary practice to confirm the advisor is meeting program related expectations, including risk-based reviews in targeted areas requiring technical expertise for a variety of products and investment strategies involving equities, fixed income, mutual funds, unit investment trusts and options.
This role will also provide coaching and training to Advisors on discretionary trading policies, escalating issues requiring further research or action and work with business partners and field leaders to resolve identified issues.
Success in this role will include analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and various business partners to mitigate risk.

Key ResponsibilitiesSupervise trading activity for a variety of products and investment strategies, including equities, fixed income, mutual funds, UIT’s, options, etcSupervise new account opening for SPS AdvisorConduct periodic reviews of account and practice level activity to determine appropriatenessComplete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most.Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.

Required Qualifications

Bachelor's degree or equivalent, and 3 years minimum relevant work experience in the financial services industry where you have built the skills needed to be successful in this role.  Ability to influence positive advisor behavior through coaching and education utilizing a supportive and consistent approach.  Ability to record evidence of supervision in a fact-based manner.Strong proficiency with computer programs, applicable supervisory systems and tools, and a demonstrated ability to use technology to improve efficiency. Active Series 7Active Series 24​Additional active licenses or the ability to obtain the following. These exam licenses, if not actively held, must be successfully obtained within 120 days of start date.  If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added after successfully passing each exam. Series 24 and 63/65 or 66 - or the ability to obtainActive Series 9/10 or 4/53 - or the ability to obtain
Preferred QualificationsProblem solving and analytical skills; ability to effectively analyze complex issues. Ability to use strong judgment when making sound, timely independent decisions on complex matters that don’t have clear answers.Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers. Strong written and verbal communication skills including the ability to deliver unfavorable messages. Ability to consistently influence positive behavior through coaching and education.Ability to document activity in a fact-based and comprehensive manner.Ability to work effectively and efficiently both individually and in a team environment.Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.

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 $85,700 - $115,700/ 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  

AWMBD Advice and Wealth Mgmt and Business Development