Registered Principal - Ameriprise Personal Wealth Group

Responsible for the supervision of Ameriprise Personal Wealth Group (APWG) advisor business as outlined in the Written Supervisory Procedures (WSPs). They must have an in-depth understanding of the APWG's operation model, products and services offered and Office of Supervisory Jurisdiction (OSJ).

Key Responsibilities:

• Provide front-line supervision to Ameriprise Personal Wealth Group (APWG) advisors while modeling Ameriprise leadership behaviors.

• Communicate and train advisors regarding results of supervisory activity through one-on-one and group training. Participate and lead calls and conference calls with various leaders and stakeholders, which includes being able to effectively communicate unfavorable results.

• Document findings in the appropriate supervisory tools such as RP Doc Tool and Supervisory Scorecard, and address issues with advisor related to their sales practices. Communicate findings with next level leaders and the Centralized Supervision Unit (CSU) Rps regarding trends, red flag behavior, and discipline as appropriate.

Required Qualifications:

• Bachelors degree or equivalent

• 3-5 years relevant experience

• FINRA Series 7, Series 24 and Series 65/66

• Strong knowledge of financial services industry, Ameriprise Financial products and services and the financial planning process.

• Strong knowledge of broker-dealer regulatory issues, knowledge of financial services industry, and Ameriprise Financial compliance policies and procedures.

• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals they supervise.

• 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, and the ability to manage multiple tasks.

• Training and delivery experience; demonstrated advanced analysis and problem solving skills.

• Experience with standard applications (Excel, Word, PPT, Outlook, Power BI).

Preferred Qualifications

• Direct supervisory experience of financial services with general securities, variable insurance products, etc..

About Our Company
We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.

Base Pay Salary

The estimated base salary for this role is $85,700-$115,700/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

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  

AFG Ameriprise Franchise Group