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Full-Time

Sales Supervision Lead

Posted on 10/25/2024

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

Category
Strategic Account Management
Sales & Account Management
Requirements
  • Bachelor's degree or equivalent and relevant work experience.
  • 7+ years financial services industry experience with proven success in sales supervision, compliance or other advisor-facing functions.
  • Active Series 7 and 24.
  • State securities agent registration (S63 or S66), and State IAR registration (S65 or S66). (If not actively held, ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day added after successfully passing each exam).
  • Deep technical expertise in Trade Supervision function
  • Expertise in process development and Specialized depth of product knowledge for complex products or investment strategies.
  • Strategic thinker with ability to influence cross-organizationally.
  • Proven ability to represent the department in interactions with senior leaders, business partners and regulators.
  • Demonstrated problem solving and analytical skills.
  • Ability to coach and provide constructive feedback to both colleagues and advisors through education, using a supportive and consistent approach.
  • Proven ability to conduct difficult client conversations and effectively deliver unfavorable messages about compensation adjustments and/or discipline with advisors, Field RPs, and other leaders.
  • Ability to make sound and timely independent decisions on complex matters that require strong judgment and don't have clear answers.
  • Strong written and verbal communication skills.
  • Experience recording evidence of supervision in a fact-based manner.
  • Ability to work effectively and efficiently both individually and in a team environment.
Responsibilities
  • Perform front-line supervision work of advisor activities to support the team.
  • Partner with Senior Managers when there is an issue that requires extensive research, including field leader escalations.
  • As needed, perform additional risk-based reviews in targeted areas.
  • Conduct coaching and specific training to team members on ambiguous or new investment, regulatory and financial topics.
  • Perform supplemental quality reviews of SSMs and provide direct feedback and coaching to them and their leaders.
  • Lead reviews of Operating Procedures and resources, soliciting feedback and implementing revisions.
  • Provide oversight of AMP India processes, design and implement testing plans, and present results.
  • Participate in monthly consistency reviews and lead development of job aids and other resources to improve consistency on team.
  • Identify and implement additional controls as needed.
  • Represent team in regional field leader calls including communications related to business policy, supervisory impacts and tool changes.
  • Manage and influence multiple relationships across the organization, including product partners across business lines, field leaders and senior level leaders.
  • Act as liaison among business leaders and staff to gather information and share best practices, and to ensure initiatives are executed appropriately.
  • Assist senior managers in handling complex field leader escalations.
  • Provide support during FOI/Regulatory requests and examinations, gathering data and preparing/presenting materials.
  • Responsible to identify opportunities to drive process enhancements, mitigate risk and standardize using Lean principles and Idea Share.
  • Assist with prioritization, determine the impacts of improvements on resources and supervisory tools, and create supporting materials as needed.
  • Collaborate with peers to share best practices and incorporate efficiencies developed in other areas.
  • Influence and drive adoption of department innovation initiatives.

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 rational decision-making in investing. The company's goal is to empower clients to achieve their financial dreams and live the life they have earned.

Company Stage

N/A

Total Funding

$287.3M

Headquarters

Minneapolis, Minnesota

Founded

N/A

Simplify Jobs

Simplify's Take

What believers are saying

  • Joining Ameriprise offers the opportunity to work with a leading financial planning firm with a strong reputation and extensive client base.
  • The company's focus on personalized financial advice allows advisors to build meaningful relationships with clients, enhancing job satisfaction.
  • Ameriprise's philanthropic efforts and community involvement can provide employees with a sense of purpose and pride in their work.

What critics are saying

  • Legal disputes, such as the ongoing lawsuit with LPL Financial, could impact Ameriprise's reputation and create a challenging work environment.
  • The competitive nature of the financial advisory industry may pressure Ameriprise to continuously innovate and differentiate its services.

What makes Ameriprise Financial unique

  • Ameriprise Financial emphasizes personalized financial planning and advisor-client relationships, setting it apart from competitors who may focus more on automated or impersonal services.
  • The firm's Confident Retirement® approach and focus on retirement readiness provide a unique value proposition in the financial advisory market.
  • Ameriprise's commitment to philanthropy, as evidenced by nearly $2 million in grant funding, enhances its reputation as a socially responsible company.

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