Sales Supervision Mgr

Responsibilities

• 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 w orking 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.
• Collaborate with peers to share best practices and incorporate efficiencies developed in other areas.
• Required Qualifications
• Bachelors degree or equivalent.
• 5 - 7 years relevant experience required.
• 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; Series 63 or 66 or the ability to obtain is also required.

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.
• 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
• Base Pay Salary
• The estimated base salary for this role is $ 87,400-$ 120,200/ year. We have a pay-for-performance compensation philosophy. Yo

Benefits

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 Our team has a number of key responsibilities to support our advisors service model and growth through marketing and communications in a fun and flexible environment. The role of the Sales Supervision Manager - Advisor Created Material Review (ACMR) will be focused on reviewing advisor created marketing materials (print ads, videos, seminar & event related materials, websites, social media) and other types of advisor-generated retail communications. Success in this role includes providing advisors with feedback, coaching and collaboration on creating compliant marketing materials. In addition, the Sales Supervision Manager - ACMR will be aware of trends in the industry and educate advisors, leaders and business partners as needed.

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