As a Sales Supervision Manager, you will review transactions for annuity contracts to ensure appropriateness in accordance with the clients' best interests and provide pre-review support through consultation with advisors and their staff to create a smooth offer and submission process for advisors and clients. 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.
The Annuity Supervision team helps clients meet their goals in partnership with advisors by identifying, addressing, and mitigating risk while supervising annuity and insurance applications and transactions.
Key Responsibilities
- Primary responsibility is daily supervision of annuity accounts and trades; meeting productivity, quality, and time standard expectations In addition:
- Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
- Communicate with advisors, field registered principals 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.
- Supports 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
- Bachelor's degree or equivalent, and minimum 5 years relevant experience.
- Active Series 6.
- Active Series 24 or Series 26. If not actively held, ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, with an additional 90-day added after successfully passing each exam.
- State Securities Agent registration (Series 63 or 66). If not actively held, ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, with an additional 90-day added after successfully passing each exam.
- 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
- Demonstrated strategic thinker.
- 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 7
- Industry designation(s) such as CFP, ChFC or CLU
- Professional credentials such as MBA or JD
- Technical product knowledge related to annuities
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.
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 DevelopmentPDN-9c886ae4-dabb-41b8-a157-62663908ceb8
