As the Sales Supervision Manager, you will review 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 led accounts and retail brokerage accounts. You will have an opportunity to tailor work based on interest, skills, and need on this dynamic risk focused team.
Key Responsibilities
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Conduct sales practice reviews surrounding products such as general securities, options, annuities, insurance, and handled accounts.
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Communicate with advisors and field leaders regarding results of supervisory activity.
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Deliver one-on-one training and education to advisors.
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Communicate with clients regarding activity to resolve suitability.
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Supervise specialized reports and referrals designed to identify potential policy violations and unique trading patterns.
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Build relationships with business partners to coordinate supervision of new or one-off supervision requests.
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Be flexible to handle a fluctuating workload and be able to prioritize contending projects.
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Serve as subject matter authority to a range of business partners, including CSU staff and employees in Legal or Compliance.
Required Qualifications
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Bachelor's degree or equivalent, and 5+ yrs relevant work experience
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Active Series 7
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Active Series 24 and 63/65 or 66 (or the ability to obtain within 120 days of start date. If multiple exams are required, will be done consecutively with an additional 90-day window after successfully passing each exam).
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Demonstrated problem solving and analytical skills; ability to effectively analyze most sophisticated issues.
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Ability to apply strong judgment when making sound, timely independent decisions on sophisticated matters that don’t have clear answers.
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Strong written and verbal communication skills. Must be able to effectively deliver unfavorable communications involving advisor compensation adjustments, account suitability, difficult advisor and client conversations, and/discipline discussions with field Registered Principals and other leaders.
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Strong ability to influence positive advisor behavior through coaching and education applying a supportive and consistent approach.
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Ability to record evidence of supervision in a fact-based manner.
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Strong knowledge of SEC and other regulatory bodies' rules relevant to the applicable product lines
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Demonstrated strategic thinker.
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Strong proficiency with computer programs, applicable supervisory systems and tools, and a demonstrated ability to use technology to improve efficiency.
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Ability to work effectively and efficiently both individually and in a team environment.
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.
Base Pay Salary
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: 04/26/2025
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
AWMBD Advice and Wealth Mgmt and Business Development
Top Skills
What We Do
Ameriprise Financial has helped millions of clients feel confident about their financial futures for more than 125 years. Our network of approximately 10,000 financial advisors* delivers personalized financial advice to help clients reach their goals.
We believe that with the right advisor, the right advice, and the right firm, life can be brilliant.
Ameriprise has corporate locations throughout the U.S. and across the globe, and advisor offices in all 50 states.
Learn how you can build your career at Ameriprise Financial.
*Ameriprise Financial Q2 2020 Statistical Supplement
All content on this page is provided for informational purposes only and should not be used as the sole basis for investment decisions. Ameriprise Financial cannot guarantee future financial results. Investment products are not federally or FDIC insured, are not deposits or obligations of, or guaranteed by, any financial institution, and involve investment risks including possible loss of the entire amount invested.
By clicking on a hyperlink, you may be directed to a non-Ameriprise website. Be aware that the linked site will be subject to rules, regulation, and privacy and security provisions that are separate, and may differ, from Ameriprise Financial.
Investment advisory products and services are made available through Ameriprise Financial Services, LLC., a registered investment adviser.
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