Active FINRA Series 24 or ability to obtain within 90 days
Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days
Active State IAR registration (S65 or S66) or ability to obtain within 150 days
Strong knowledge of financial services industry products, services, and financial planning
Working knowledge of Broker/Dealer regulatory issues, Ameriprise's hybrid model, supervisory policies, procedures, and systems
Effective personal presence and the ability to influence through training and personal interactions
Demonstrated effective analytical, diagnostic, investigative, and problem solving skills
Strong oral and written communication skills, demonstrated conflict management and collaborative skills, and ability to lead
Ability to travel 25-45% depending on territory size, numbers of RPs, and need for on-site oversight
Ability to work from an Ameriprise Advisor Group (AAG) Office
Requirements
Demonstrated ability to use technology and tools to gain efficiencies and speed
Self-motivated with the ability to achieve results in an independent environment, aptitude, and comfort with technology
Ability to manage multiple tasks
Strong people and relationship leadership skills
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
Benefits
Vision 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
Provide risk-based leadership and oversight to reduce regulatory risk in the region. Lead in a hybrid supervision model under the direction of the Region Vice President (RVP) and within a matrixed relationship to Risk Mitigation. In this role you will: train new and support existing Field Registered Principals (RPs); assess and provide feedback to Field RPs for development of ongoing supervision/mitigation of risk; educate the field on regulatory and supervision policies while effectively communicating with regional and executive leadership on potential trends and actions needed to mitigate risk. Ensure effective, documented supervision and strong scalable, repeatable supervisory processes. Partner with the corporate office to advise on scalable issues.
Ameriprise · Scottsdale, AZ