Required Qualifications
- Bachelor's degree or equivalent, and 5 years minimum relevant work experience
- 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.
- Active Series 7 required
Additional active licenses or the ability to obtain the following:
- **Active Series 24 and 63/65 or 66 - or the ability to obtain as follows:
- **These exam licenses, if not actively held, need to be passed within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added after successfully passing each exam.
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 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.
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
