Sales Supervision Manager bei Ameriprise
Ameriprise · Minneapolis, Vereinigte Staaten Von Amerika · Onsite
- Professional
- Optionales Büro in Minneapolis
Key Responsibilities
Supervising advisor activity to the intent and spirit of regulations and policies, not just the letter of these directives.
Engage with advisors and field leaders to determine their business need and collaborate on a compliant approach.
Complete 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
A bachelor’s degree (in any field) and 2 years relevant work experience or 3 years relevant work experience. Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
Active SIE (Securities Industry Essentials) and ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; additional licenses or the ability to obtain may be required depending on function.
Preferred Qualifications
Problem solving and analytical skills; ability to effectively analyze complex issues.
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 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
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
