Full-Time

Manager – Central Supervision Unit

Posted on 11/18/2024

Ameriprise Financial

Ameriprise Financial

10,001+ employees

Provides financial planning and advisory services

Fintech
Financial Services

Senior

Las Vegas, NV, USA + 3 more

More locations: Charlotte, NC, USA | Troy, MI, USA | Minneapolis, MN, USA

Hybrid model requiring three days in office in Minneapolis, Charlotte, Las Vegas, and Troy.

Category
Risk Management
Finance & Banking
Requirements
  • Bachelor's degree or equivalent, and 5 years minimum relevant experience
  • Active Series 7
  • 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-days after successfully passing each exam)
  • Demonstrated problem solving and analytical skills; ability to effectively analyze most sophisticated issues
  • Ability to apply strong judgment when making sound, timely independent decisions on sophisticated matters that don’t have clear answers
  • 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
  • Strong ability to influence positive advisor behavior through coaching and education applying 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
Responsibilities
  • Conduct sales practice reviews surrounding products such as general securities, options, annuities, insurance, and handled accounts
  • Communicate with advisors and field leaders regarding results of supervisory activity
  • Deliver one-on-one training and education to advisors
  • Communicate with clients regarding activity to resolve suitability
  • Supervise specialized reports and referrals designed to identify potential policy violations and unique trading patterns
  • Build relationships with business partners to coordinate supervision of new or one-off supervision requests
  • Be flexible to handle a fluctuating workload and be able to prioritize contending projects
  • Serve as subject matter authority to a range of business partners, including CSU staff and employees in Legal or Compliance

Ameriprise Financial offers financial planning services and advice through a network of financial advisors. Their services include helping clients assess their retirement readiness and providing strategies to manage investment risks. Clients can engage in conversations about their financial goals, such as whether to pay off a mortgage early, with the guidance of an advisor who can help them make informed decisions. What sets Ameriprise apart from competitors is their focus on personalized financial planning and the emphasis on building a confident retirement strategy tailored to individual needs. The company's goal is to empower clients to achieve their financial dreams and live the life they have earned.

Company Stage

IPO

Total Funding

$287.3M

Headquarters

Minneapolis, Minnesota

Founded

1894

Simplify Jobs

Simplify's Take

What believers are saying

  • Increased demand for personalized advice can drive more clients to Ameriprise.
  • Digital financial planning tools enhance client engagement and streamline advisor interactions.
  • Growing interest in ESG investing allows Ameriprise to expand its sustainable product offerings.

What critics are saying

  • Departure of key advisors and data breaches pose significant risks to Ameriprise.
  • Legal disputes with LPL Financial could damage Ameriprise's reputation and client trust.
  • Recruitment of former Ameriprise leaders by competitors may lead to talent loss.

What makes Ameriprise Financial unique

  • Ameriprise offers personalized financial advice amid economic uncertainty and market volatility.
  • The firm leverages digital tools to enhance client engagement and streamline interactions.
  • Ameriprise provides ESG investment products, catering to the growing interest in sustainable investing.

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