Senior Manager, Advice and Wealth Management Supervision

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 year-end 2024. Our team of 22,000 people across 19 countries, serves 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.

Job Description

Leadership of a professional team of Registered Principals committed to best-in-class supervision. In addition to providing guidance and motivation to a highly trained team, you will handle complex escalations in conjunction with field leadership, advisors, and clients. Analysis of risks will be handled with information received from multiple systems and in consideration of industry and company rules and best practices.

Key Responsibilities

• Leadership to team of corporate Registered Principals providing direct supervision for advisors' sales practices. Includes daily monitoring of workflow and making adjustments to ensure quality supervision is completed timely

• Regular assessments of team and individual performance

• Hiring and training of staff

• Track key metrics and business drivers, and provide decision support for leaders

• Second level supervision and/or approval for escalated issues including advisor disagreements, reversal or rescission of trades and/or fees 

• Serve as subject matter expert providing information and/or research to other CSU team members, cross-functional working group and across the enterprise as needed 

• Communicate with advisors and field leaders regarding results of supervisory activity, including one-on-one training 

• Communicate with clients regarding activity to determine suitability

• Maintain desktop procedures for supervision

• Additional project work, as required, to lead or contribute to cross-functional initiatives, such as building or fixing supervisory tools and creating new supervisory processes

Required Qualifications

• Bachelor's degree or equivalent, and minimum 7 years relevant work experience

• At least 5 years' financial services industry experience

• Knowledge of annuities and insurance including industry practices

• Experience working with advisors and an understanding of advisor business practices and field structure

• Proven success as a leader with formal and/or informal leadership responsibilities

• Advanced problem solving and analytical skills on highly complex and ambiguous issues; ability to effectively translate analysis for a variety of audiences with varying skill levels.  

• Strong written and verbal communication skills.  Must be able to effectively deliver unfavorable communications involving advisor compensation adjustments, difficult client conversations and/or discipline with advisors, field RPs and other leaders.

• Ability to anticipate, proactively respond and independently prepare/present materials for senior leaders.

• Demonstrated ability to partner across the enterprise on cross-functional teams and clearly articulate matters relating to supervision.

• Proven ability to recognize and capitalize on opportunities to improve business results, including client and advisor experience.

• Series 7

• Series 24

• Series 66 (or combination of 63 and 65/IAR)

Preferred Qualifications

• Additional education/industry designations, e.g. CFP®, CRPC®, ChFC®, QPFC, MBA

• Proficiency with industry supervisory tools, such as AnnuityNet, ThomsonONE, etc.

• Expert knowledge of annuities and insurance including industry practices

• Broad knowledge of products offered by Ameriprise Financial

• Series 4 and 51/53, or 9/10

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

In-Office Collaboration 

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, p