Franchise Reg Principal-2

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 year-end 2024. Our team of 22,000 people across 19 countries serves 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.

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, including:
  • 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 corrective processes when appropriate
  • Coaching advisors on supervisory policies and procedures
  • Acting as the main resource for advisors on compliance tasks
  • 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
  • Analyzing reports and other metrics for trends
• 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, including:
  • Working with Centralized Supervision Unit and Compliance on escalated issues and supervision plans
  • Working with Compliance on complaints
  • Working with Legal on investigations
  • Resolving issues identified in field office inspections
• Comply with record keeping processes, required use of certain technology tools and systems.
• Collaborate with Supervision and Compliance on outside business activity approval/review and policy exception requests.

Requirements

• Knowledge of financial services industry and B/D regulatory rules
• 3–5 years of compliance supervisory experience
• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals the supervisor supervises
• Strong oral and written communication skills
• Demonstrated conflict management
• Ability to deliver difficult messages
• Demonstrated ability to influence
• 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

• 5-7 years of compliance supervisory experience
• Self-motivated with the ability to achieve results in an independent environment
• Aptitude with technology
• Ability to manage multiple tasks

Applicants must have a valid work authorization that does not now or in the future require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Schedule

Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or specific requirements, which will be discussed during the hiring process.

Pay

The estimated base salary for this role is $87,400–131,000/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.

Benefits

• Vacation time
• Sick time
• 401(k)
• Health, dental, and life insurances