About this role

Provides front-line supervision of financial advisors to ensure compliant, well-managed practices aligned with regulatory requirements and Ameriprise Financial policies.
Partners closely with advisors through ongoing coaching, documented oversight, and feedback to promote suitable sales practices and ethical conduct.
Proactively identifies and addresses supervisory, compliance, and operational risks through reviews, reporting analysis, office inspections, and client outreach.
Serve as a key liaison with Compliance, Legal, and other corporate partners to resolve issues.
Implement supervision plans, and maintain accurate supervisory records using required technology tools.

Knowledge of financial services industry and B/D regulatory rules
3–5 years of compliance supervisory experience
Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals the supervisor supervises
Strong oral and written communication skills
Demonstrated conflict management
Ability to deliver difficult messages
Demonstrated ability to influence
Demonstrated advanced analysis and problem-solving skills
Active Series 7
Active Series 24
Active State IAR registration (S65 or S66)
Active State securities agent registration (S63 or S66)

Registered Principal

Key skills