Manager - Central Supervision Unit at Ameriprise Financial in Charlotte, North Carolina

Job Description:

As a Sales Supervision Manager, you will review business trends across advisor practices. In addition, play a key role in supervising business activities such as heightened supervision plans, non-conventional business practices, and journaling of cash and securities between led accounts and retail brokerage accounts. With an opportunity to tailor work based on interest, skills, and need on this dynamic risk focused team.

The Specialized Trends and Reports Team has a number of responsibilities that support the Ameriprise Client Experience (ACE) model through supervision of practice trends and flagged activity.

This role will be following our hybrid model (three days in office) in the following locations: Minneapolis, MN HQ, Charlotte, NC, Las Vegas, NV and Troy, Michigan.

Key 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.

Required Qualifications

• 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.

Preferred Qualifications

• CFP, ChFC or CLUIndustry designation(s)


• Professional credentials such as MBA or JD

About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.

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 DevelopmentPDN-9d85e21c-a5e4-4ef0-a90d-641f7e28ea4a Apply Now