Supervision Senior Manager, Annuities

This Senior Manager will provide leadership to a team of Sales Supervision Managers (SSM) within the Annuity and Insurance Supervision group. These SSMs have several key responsibilities to support our advisors and clients including responsibility for supervisory analysis of advisor business with clients and prospects which may include the offer of specific products or services and client communications. SSMs have in-depth knowledge of the functional area of responsibility, ensure clear communications with advisors/clients, and are expected to keep updated on regulatory and industry changes. Senior Managers are expected to have the same in-depth expertise to handle challenging situations arising from the supervision and leader skills to manage the results of the team including performance metrics and assessments.

Key Responsibilities

• Provide leadership to team including assessment of performance through interactions, quality reviews, and analysis of metrics and giving real-time feedback to influence behavior. Monitoring of workflow and metrics to ensure quality supervision is completed timely. The Senior Manager works closely with the functional leader team to provide strategic direction on the supervision of highly complex products.
• Consult with team members, other Supervision leaders, advisors and field leaders on escalated cases including advisor disagreements with policies and procedures. Act as a resource to influence business partners and senior leaders with respect to key business initiatives and supervisory requirements. Represent team in field calls including communications related to business policy, supervisory impacts, and tool changes.
• Provide ongoing training to team members and support opportunities for growth and development through 1:1 conversations, team huddles and meetings. Strengthen our community through department and company initiatives including actively participating in self-development (e.g., individual development goals; Market Intelligence program; Diversity, Equity & Inclusion).
• Drive the team’s efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most. Ensure Operating Procedures and Written Supervisory Procedures (WSPs) are current and accurate.
• Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings and determine potential impacts to the team.
• Monitor team capacity and participate in decisions to replace/add staff as needed. Partner with HR to post and promote openings and interview and hire quality candidates.  Conduct new hire RP Curriculum training quarterly for SSMs joining the department.
• Represent the firm and functional processes in response to examinations, investigations and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.

Required Qualifications

• Bachelor's degree preferred or equivalent and 5 years relevant work experience.
• Active Series 7, Series 24 and Series 63 or 66 required.
• Advanced problem solving and analytical skills.
• Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers. 
• Ability to effectively analyze high complexity issues and translate analysis for a variety of audiences with varying skill levels.
• Strong written and verbal communication skills including ability to deliver unfavorable messages to both team members and advisors. 
• Ability to consistently influence positive behavior through coaching and education.
• Ability to independently prepare and/or present materials for senior leaders.

Preferred Qualifications

• Direct or indirect leadership experience.
• Ability to attract and retain high performing staff.
• Expert knowledge of annuities and insurance, including industry practices.

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