Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance business.
Determine approval or rejection of new applications.
Communicate with advisors and field leaders as part of the process to complete supervisory reviews of business activity.
Improve advisor policy adherence through coaching and training.
Communicate with clients, when needed, regarding activity to determine suitability.
Serve as subject matter expert providing information and/or research to a range of business partners.
Support the team's 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.
Participate in maintaining the overall health of the team, including establishing individual development goals and engagement in team activities.
Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.
Required Qualifications
Bachelor's degree or equivalent, and 5+ years minimum 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)
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.
Requirements
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.
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.
Technical product knowledge related to annuities
Strong knowledge of FINRA, SEC and other regulatory bodies' rules relevant to the applicable product lines
Visa Sponsorship
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).
In-Office Collaboration
Benefits
Health insuranceVision insurance
Additional Information
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.
Job Description
The Annuity Supervision Team plays a vital role in supporting advisors and clients by providing oversight of annuity and insurance business activities in a dynamic, fast-paced environment. This position offers the opportunity to apply analytical expertise and regulatory knowledge to help ensure high-quality outcomes for clients while supporting advisor success.
In this role, Sales Supervision Managers (SSMs) conduct supervisory reviews of advisor interactions with clients and prospects, including recommendations and sales of annuity and insurance products. SSMs bring strong subject matter expertise to evaluate suitability, mitigate risk, and promote sound business practices. The role involves regular collaboration with advisors and field leaders, clear and professional communication, and the ability to synthesize information from multiple systems to make informed decisions.
Successful candidates are highly analytical, collaborative, and adaptable, with a strong interest in staying current on evolving regulatory and industry trends.
Ameriprise · Minneapolis, MN