Registered Operations Manager

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

• Manage activities that support business results, revenue growth, client experience and efficiencies in practice.
• Manage resources to achieve business results, including revenue and client acquisition targets.
• Partner with Branch Manager to ensure advisor business plans are completed and marketing events are tracked and measured.
• Assist advisors in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions.
• Prepare and summarize client meetings by scheduling and confirming meetings, crafting an agenda and summary of meeting, escorting clients to advisors office and providing follow-up.
• Prepare and ensure new business paperwork processes are successfully filled out.
• Provide general administrative duties such as answering phones, processing reports, preparing correspondence, setup files, etc.
• Build, manage, track and analyze reports and branch vitals.
• Review advisor expense reports, branch P & L, budgeting, reporting/correcting errors, identify and implement expense reduction opportunities.
• Partner with Registered Principal to ensure compliance support is established and training needs are met.
• Lead real estate and facilities initiatives.
• Lead, coach, mentor and provide performance management for direct reports.
• Partner with Senior Operations Leader and Regional Director of Operations to determine staffing needs; request, hire and allocate staff.
• Conduct 1:1s with staff.

Requirements

• Bachelors degree or equivalent.
• 5 - 7 Relevant Experience Required.
• Series 7 or ability to obtain within 150 days.
• State securities agent registration (S63 or S66) or ability to obtain within 150 days.
• State IAR registration (S65 or S66) or ability to obtain within 150 days.
• Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days.
• Previous successful supervisory experience including knowledge of HR policies and labor laws.
• Excellent written and verbal communication skills; demonstrated ability to motivate team members to delivery results.
• Ability to manage multiple priorities in a fast paced environment with little or no supervision and strong organizational/time management skills.
• Able to communicate with all levels within the organization.
• Detail orientated, strong math, and analytical skills.
• Good organization and time management skills.
• Process oriented and can work with a team.
• Proficient with standard business software applications.

Schedule

Full time, Exempt