Ameriprise Financial is hiring a Sales Supervision Manager – Specialized Trends and Reports. You will be responsible for reviewing business trends across advisor practices and supervising high-risk activities like heightened supervision plans and non-conventional business. Success comes from analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and business partners to mitigate risk.
What You'll Do
- Conduct sales practice reviews for products including general securities, options, annuities, insurance, and managed accounts.
- Supervise specialized reports and referrals designed to identify potential policy violations and unique trading patterns.
- Communicate with advisors and field leaders regarding supervisory results, validating fiduciary and best interest standards are met.
- Deliver one-on-one training and education to advisors.
- Communicate with clients regarding activity to resolve suitability concerns.
- Handle a fluctuating workload and prioritize contending projects.
- Build relationships with business partners to coordinate supervision of new or one-off requests and serve as a subject matter authority.
- Support team efforts to innovate and improve the effectiveness and efficiency of processes.
- 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.
- Participate in maintaining team health, including establishing individual development goals and engaging in team activities.
What We're Looking For
- Bachelor's degree or equivalent, plus a minimum of 5 years of relevant experience.
- Demonstrated problem-solving and analytical skills with the ability to effectively analyze the most complex issues.
- Ability to use strong judgment when making sound, timely independent decisions on complex matters that don’t have clear answers.
- Strong written and verbal communication skills.
- Strong ability to influence positive advisor behavior through coaching and education using a supportive and consistent approach.
- Ability to record evidence of supervision in a fact-based manner.
- Strong knowledge of SEC and other regulatory bodies' rules relevant to applicable product lines.
- Demonstrated strategic thinker.
- Strong proficiency with computer programs, applicable supervisory systems and tools, and a demonstrated ability to use technology to improve efficiency.
- Ability to work effectively and efficiently both individually and in a team environment.
- Active Series 7 license required.
- Active Series 24 and 63/65 or 66 licenses, or the ability to obtain them within specified timeframes (120 days for first exam, plus 90-day windows for subsequent exams if needed).
Team & Environment
You will join a dynamic, risk-focused team within Ameriprise Financial.
Benefits & Compensation
- Annual compensation range: $87,400 - $110,000.
- Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role.
- Competitive and comprehensive benefits program supporting all aspects of health and well-being.
- 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, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.
