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.
Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager – Specialized Trends and Reports is responsible for reviewing business trends across advisor practices. In addition, you will play a key role in supervising business activities such as heightened supervision plans, non-conventional business practices, and journaling of cash and securities between managed accounts and retail brokerage accounts. You will have an opportunity to tailor work based on interest, skillset, and need on this dynamic, risk-focused team.
Success in this role will include analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and various business partners to mitigate risk.
Key Responsibilities
• Conduct sales practice reviews surrounding products such as 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 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.
• Deliver one-on-one training and education to advisors.
• Communicate with clients regarding activity to resolve suitability.
• Be flexible to handle a fluctuating workload and be able to prioritize contending projects.
• Build relationships with business partners to coordinate supervision of new or one-off supervision requests. Serve as subject matter authority to a range of business partners, including CSU staff and employees in Legal or Compliance.
• 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
• Bachelors degree or equivalent, and 5 years minimum relevant work experience
• Demonstrated problem solving and analytical skills; ability to effectively analyze 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. Must be able to effectively deliver unfavorable communications involving account suitability, difficult advisor and client conversations, and/discipline discussions with field Registered Principals and other leaders.
• Strong ability to influence positive advisor behavior through coaching and education utilizing 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 the applicable product lines
• 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 required
• Additional active licenses or the ability to obtain the following: Series 24 and 63/65 or 66 - or the ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added after successfully passing each exam.
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).
About Ameriprise Financial
Ameriprise Financial combines a team-based atmosphere with an entrepreneurial spirit. We are an organization that emphasizes learning and growth, rewards you for your achievements and fosters a healthy work/life balance.
From our Minneapolis headquarters throughout our offices nationwide, you'll find we live our values every day — client focused, integrity always, excellence in all we do and respect for individuals and communities. We embrace diversity in our ideas, management, employee groups and clients.
Our Investment in You
We provide employees and branch advisors with competitive compensation and rewards. Our comprehensive benefits support your health and help you balance your career and personal life. Ameriprise invests in you through compensation, retirement savings, health benefits, wellness programs, work/life balance programs, veteran benefits, etc.
Your Career at Ameriprise
When you join our corporate team, you receive competitive compensation and incentives, opportunities to share in the company's success plus comprehensive benefits. Our employees also enjoy business resource networks, transportation assistance, community service opportunities, and an on-site cafeteria.
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Thrive in a Respectful, Supportive Environment
We have a diverse, values-based culture that embraces individual differences and encourages you to perform at your peak. We recognize your achievements and understand that work is one of the many important aspects in your life. While maintaining respect for that life balance, we help you advance your career and reach your goals.
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Build a Career that Matters to You
At Ameriprise Financial, we believe that learning is a lifelong endeavor. No matter where you are in your career path, we encourage all employees to take advantage of our professional development programs, offered in a variety of ways. Learn on your own, collaborate with a peer or work with an experienced colleague. Whatever your learning style, Ameriprise gives you the opportunity to reach your potential.
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Join a strong, ethical company that offers you what you need to build a rewarding career as a financial advisor: Culture & Commitment, Dedication & Support, and Opportunity & Rewards. Ameriprise is committed to helping you achieve the vision you have for your practice. With training in financial planning and the backing of a strong, stable FORTUNE 500® company, you’ll discover unparalleled culture, support, and opportunities to build a successful practice. That’s the Ameriprise Difference.
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Opportunities for Students
Join an inclusive team to gain career-building skills and network in a supportive, high-energy, team-based atmosphere. Learn through real-world work and collaboration with leaders on projects that produce results through our Internship Program or gain valuable professional experience and build leadership skills through our full-time Leadership Development Program. You’ll also engage in team-building/social events, volunteer activities, executive leadership seminars, and networking opportunities.