Newport Beach, CA30+ days ago
Required Qualifications: Bachelor's degree or equivalent (4-years) 7 to 10 years relevant experience required Active FINRA Series 7 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 45-75% depending on territory size, numbers of RPs, and need for on-site oversight Ability to work from an Ameriprise Advisor Group (AAG) Office. 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.