Sales Supervision Manager

The role of Sales Supervision Manager – Trade Corrections reviews home office and advisor-disclosed trading errors, using a wide variety of problem-solving skills to address accounts with incorrect trading activity. You will review requests to change trades/transactions across all product types and confirm the nature and extent of the trade error and subsequent impacts, evaluate for solutions, and escalate situations that require further review and/or alternate solutions.
Success in this role will require a wide knowledge of products and systems used by advisors and staff and effective communication skills when requesting additional information and providing feedback, coaching and direction.
This position will follow our hybrid schedule (three days in office) in the following locations: Charlotte, NC; Las Vegas, NV; Minneapolis, MN or Troy, MI.

Key Responsibilities

• Support our advisor service model and growth in a fun and flexible environment.
• Review home office and advisor-disclosed trading errors, using a wide variety of problem-solving skills to address accounts with incorrect trading activity. 
• Review requests to change trades/transactions across all product types and confirm the nature and extent of the trade error and subsequent impacts, evaluate for solutions, and escalate situations that require further review and/or alternate solutions.
• Utilize extensive knowledge of products and systems used by advisors and staff
• Effective communication skills when requesting additional information and providing feedback, coaching and direction.

Job description

• Direct supervision of home office and advisor-disclosed trading errors to validate that a trade error occurred and to ascertain the full extent of the error
• Research account activity and gather information regarding changes needed and impacts
• Clearly communicate instructions to business partners to affect changes to client accounts
• Evaluate situations for risk based on size, security availability/volatility, scope of impact, nature of mistake, etc. and escalate as appropriate
• Effectively obtain information from advisors and staff when requests are lacking detail/information 
• Provide coaching to advisors and staff regarding best practices of order-entry and error avoidance
• Reinforce adherence to policy by providing feedback and performance statistics to advisors and field leadership
• Direct additional action as appropriate when declining correction requests and provide rationale for rejections
• Serve as subject matter expert providing information and/or research to a range of business partners including CSU staff and employees in Legal or Compliance. 
• Be flexible to prioritize multiple competing cases as new requests arrive

Required Qualifications

• Bachelor's degree or equivalent, and 5 years minimum relevant work experience 
• Active Series 7
• Active Series 24 and 63/65 or 66
• Demonstrated problem solving and analytical skills; ability to effectively analyze most complex issues.
• Demonstrated strategic thinker., with the ability to use strong judgment when making sound and timely independent decisions on complex matters that may not have clear answers.
• Strong written and verbal communication skills.  Must be able to effectively deliver unfavorable communications and handle difficult conversations with advisors and/or staff 
• 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 Regulatory rules relevant to the applicable product lines
• Strong knowledge of stock market and security trading mechanics and functions
• 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.

Preferred Qualifications

• Active Series 9/10 or 4/53
• Industry designation(s) such as CFP, ChFC or CLU 
• Professional credentials such as MBA or JD 

About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.

The estimated base salary for this role is $85,700 - $115,700 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Closing Date: 03/22/2025

Full time

Exempt

Legal Affairs

AWMBD Advice and Wealth Mgmt and Business Development