Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager - Specialized Trends and Reports is responsible for reviewing 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 managed accounts and retail brokerage accounts. You will have an opportunity to tailor work based on interest, skillset, and need on this dynamic, risk-focused team.
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.
Key Responsibilities
-
Conduct sales practice reviews surrounding products such as general securities, options, annuities, insurance, and managed accounts.
-
Supervise specialized reports and referrals designed to identify potential policy violations and unique trading patterns.
-
Communicate with advisors 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.
-
Deliver one-on-one training and education to advisors.
-
Communicate with clients regarding activity to resolve suitability.
-
Be flexible to handle a fluctuating workload and be able to prioritize contending projects.
-
Build relationships with business partners to coordinate supervision of new or one-off supervision requests. Serve as subject matter authority to a range of business partners, including CSU staff and employees in Legal or Compliance.
-
Support 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 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 year-end 2024. Our team of 22,000 people across 19 countries, serves 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 $87,400 - $110,000 / 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, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.
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
