Job Information
Ameriprise Financial Franchise Registered Principal in Minneapolis, Minnesota
The field Registered Principal (employee) position is responsible for the sales and suitability of the advisor’s entire book of business as outlined in the Written Supervisory Procedures (WSPs). They must have an in-depth understanding of each advisor's practice, staff, and their branch or Office of Supervisory Jurisdiction (OSJ).
This role will support the East Coast territories. Applicants must reside in CT, RI, Western MA, NH, ME or willing relocate to one of the territories.
Key Responsibilities
Provide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors.
Communicate and train advisors regarding results of supervisory activity through one-on-one training, Field Registered Principal calls and conference calls with various leaders and stakeholders, which includes being able to effectively communicate unfavorable results.
Document findings in appropriate tools such as Registered Principal Doc Tool and Supervisory Scorecard, and address issues with advisors of supervisory activities. Communicate with next level leaders and Centralized Supervision Unit (CSU) Registered Principals regarding trends, red flag behavior, and consequence management as appropriate.
Strong knowledge of financial services industry, Ameriprise products & services and the financial planning process.
Strong knowledge of B/D regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures
Demonstrated ability to exercise sound and impartial judgement in addressing issues with
Responsibilities: individuals s/he supervises
Strong oral and written communication skills, demonstrated conflict management and ability to lead up
Self-motivated with the ability to achieve results in an independent environment, aptitude with technology , ability to manage multiple tasks
Training and delivery experience; demonstrated advanced analysis and problem-solving skills
Required Qualifications
Active Series 7
Active Series 24
Active State IAR registration (S65 or S66)
Active State securities agent registration (S63 or S66)
Strong knowledge of financial services industry, Ameriprise products & services and the financial planning process.
Strong knowledge of B/D regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures
Demonstrated ability to exercise sound and impartial judgement in addressing issues with individuals s/he supervises
Strong oral and written communication skills, demonstrated conflict management and ability to lead up
Self-motivated with the ability to achieve results in an independent environment, aptitude with technology , ability to manage multiple tasks
Training and delivery experience; demonstrated advanced analysis and problem-solving skills
Must be open to relocating if not currently residing in the territory (CT, RI, Western MA, NH, ME)
Preferred Qualifications
- 3-5 years of compliance supervisory experience.
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.
Base Pay Salary
90,000 - 96,600
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 Development