Provide risk-based leadership and oversight to reduce regulatory risk in the region
Train new and support existing Field Registered Principals (RPs)
Assess and provide feedback to Field RPs for development of ongoing supervision/mitigation of risk
Educate the field on regulatory and supervision policies while effectively communicating with regional and executive leadership on potential trends and actions needed to mitigate risk
Ensure effective, documented supervision and strong scalable, repeatable supervisory processes
Partner with the corporate office to advise on scalable issues
Provide oversight through regular, effective, ongoing interactions with Field RPs and second level leaders to track progress, provide feedback, identify new issues, and positively influence the direction of supervision
Confirm and document that Regulatory issues are identified, and appropriate action is taken
Educate, advise, and guide regional leadership on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk
Engage corporate office partners to address risk
Develop effective oversight systems and processes to prioritize and address areas of highest risk
Lead implementation and drive uptake of new supervisory policies, tools, and systems
Train new and existing field leaders and RPs and assess, address, and document the readiness of existing Field RPs to perform the six RP responsibilities of ongoing, risk-based supervision
Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the RVP
Act as Strategic Business Partner to field leaders
Partner with RVP and Regional Director of Operations to implement a PMP process for RPs who are not meeting minimum expectations of the RP role, as necessary or appropriate
Prepare and present analysis of risk trends in the region for the semi-annual business line reviews

Requirements

Bachelor’s degree or equivalent (4-years)
7 to 10 years relevant experience required
Active FINRA Series 7
Active FINRA Series 24 or ability to obtain within 90 days
Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days
Active State IAR registration (S65 or S66) or ability to obtain within 150 days
Strong knowledge of financial services industry products, services, and financial planning
Working knowledge of Broker/Dealer regulatory issues
Ameriprise's hybrid model, supervisory policies, procedures, and systems
Effective personal presence and ability to influence through training and personal interactions
Demonstrated effective analytical, diagnostic, investigative, and problem solving skills
Strong oral and written communication skills, demonstrated conflict management and collaborative skills, and ability to lead
Ability to travel 45-75% depending on territory size, numbers of RPs, and need for on-site oversight
Ability to work from an Ameriprise Advisor Group (AAG) Office

Benefits

vacation time
sick time
401(k)
health insurance
dental insurance
life insurance

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

FINRA Series 7FINRA Series 24State Securities Agent RegistrationState IAR registrationfinancial services industry productsfinancial planningBroker/Dealer regulatory issuesanalytical skillsdiagnostic skillsproblem solving skills

Soft Skills

leadershipinfluencecommunication skillsconflict managementcollaborative skillstrainingpersonal interactionsfeedbackoversightrisk mitigation

Certifications

Bachelor's degreeFINRA Series 7FINRA Series 24State Securities Agent RegistrationState IAR registration