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.
Job Description
In this role, you will act as Registered Principal for one or more Field Vice President(s) in the Ameriprise Financial Institution Group (AFIG) channel. This includes providing frontline supervision of financial advisors in the span of control for OSJs assigned.
• Conduct frontline supervision for OSJs assigned. Conduct supervisory reviews of financial advisors a minimum of once a year and spot checks, as required. Conduct in-depth reviews to verify all regulatory policies and processes are in place.
• Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Field Vice Presidents, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.
• Act as primary point of contact for advisors and staff on compliance and supervision related items.
• Engage with Financial Institution (FI) partners (e.g., program managers) to communicate issues and trends from a supervisory perspective.
Required Qualifications:
• 3 - 5 years relevant experience required
• Bachelor’s degree or equivalent (4-years)
• Active FINRA Series 7
• Active FINRA Series 24
• Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days
• Ability to travel 25% to 40% of the time
Preferred Qualifications:
• Strong knowledge of financial services industry, Ameriprise products and services, and the financial planning process.
• Strong knowledge of broker-dealer regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures.
• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals being supervised.
• Strong oral and written communication skills, demonstrated conflict management, and ability to lead.
• Self-motivated with the ability to achieve results in an independent environment.
• Aptitude with technology and ability to manage multiple tasks.
• Training and delivery experience.
• Demonstrated advanced analysis and problem-solving skills.
• Demonstrated ability to use technology and tools (e.g. Teams, MS Office) to gain efficiencies and speed.
• Direct supervisory experience
• Experience with Nondeposit Investment Products (NDIP) business
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
This position is remote. Any expectations for travel or in-person collaboration will be discussed during the hiring process. This position is eligible for remote work in any location.
About Ameriprise Financial
Ameriprise Financial combines a team-based atmosphere with an entrepreneurial spirit. We are an organization that emphasizes learning and growth, rewards you for your achievements and fosters a healthy work/life balance.
From our Minneapolis headquarters throughout our offices nationwide, you'll find we live our values every day — client focused, integrity always, excellence in all we do and respect for individuals and communities. We embrace diversity in our ideas, management, employee groups and clients.
Our Investment in You
We provide employees and branch advisors with competitive compensation and rewards. Our comprehensive benefits support your health and help you balance your career and personal life. Ameriprise invests in you through compensation, retirement savings, health benefits, wellness programs, work/life balance programs, veteran benefits, etc.
Your Career at Ameriprise
When you join our corporate team, you receive competitive compensation and incentives, opportunities to share in the company's success plus comprehensive benefits. Our employees also enjoy business resource networks, transportation assistance, community service opportunities, and an on-site cafeteria.
Search Open Positions and Apply
Learn More About Joining Ameriprise
Thrive in a Respectful, Supportive Environment
We have a diverse, values-based culture that embraces individual differences and encourages you to perform at your peak. We recognize your achievements and understand that work is one of the many important aspects in your life. While maintaining respect for that life balance, we help you advance your career and reach your goals.
Learn More About Diversity and Inclusion at Ameriprise
Build a Career that Matters to You
At Ameriprise Financial, we believe that learning is a lifelong endeavor. No matter where you are in your career path, we encourage all employees to take advantage of our professional development programs, offered in a variety of ways. Learn on your own, collaborate with a peer or work with an experienced colleague. Whatever your learning style, Ameriprise gives you the opportunity to reach your potential.
Being an Ameriprise Advisor
Join a strong, ethical company that offers you what you need to build a rewarding career as a financial advisor: Culture & Commitment, Dedication & Support, and Opportunity & Rewards. Ameriprise is committed to helping you achieve the vision you have for your practice. With training in financial planning and the backing of a strong, stable FORTUNE 500® company, you’ll discover unparalleled culture, support, and opportunities to build a successful practice. That’s the Ameriprise Difference.
Learn More About Ameriprise Advisor Support
Opportunities for Students
Join an inclusive team to gain career-building skills and network in a supportive, high-energy, team-based atmosphere. Learn through real-world work and collaboration with leaders on projects that produce results through our Internship Program or gain valuable professional experience and build leadership skills through our full-time Leadership Development Program. You’ll also engage in team-building/social events, volunteer activities, executive leadership seminars, and networking opportunities.