Franchise Reg Principal

🕒 August 21

🌪️ Kansas, Missouri – Remote

🌪️ Kansas – Remote 🏰 Missouri – Remote

💵 $87.4k - $131k / year

⏰ Full Time

🔴 Lead

👻 Ghost score 11%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Ameriprise Financial Services, LLC

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded 1894

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

Ameriprise Financial Services, LLC is a leading provider of personalized financial planning and advice. The company emphasizes one-to-one financial advice to help clients reach their unique financial goals and offers complimentary consultations with its financial advisors. Ameriprise is well-regarded in the investment industry, providing award-winning service focused on client satisfaction. With the support of their Investment Research Group, Ameriprise advisors provide clients with objective research, actionable investment strategies, and ongoing market and economic analysis. The company also prioritizes online security and privacy for clients accessing their accounts and financial documents online.

📋 Description

• Provide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors • Work proactively with advisors to support compliant practices • Conduct and document ongoing 1:1 interactions • Provide feedback and document observations related to advisor sales activity and suitability of recommendations • Inspect registered offices under supervision pursuant to company policy • Administer discipline and education corrective processes when appropriate • Coach advisors on supervisory policies and procedures • Act as the main resource for advisors on compliance tasks • Validate that appropriate advisor training is taking place • Detect policy or procedure violations by responding to corporate requests, making client calls, and analyzing reports and metrics • Follow up on, review, and sign off on or reject advisor activity according to Written Supervisory Procedures • Work with Centralized Supervision Unit and Compliance on escalated issues and supervision plans • Work with Compliance on complaints • Work with Legal on investigations • Resolve issues identified in field office inspections • Comply with record-keeping processes and required technology tools and systems • Collaborate with Supervision and Compliance on outside business activity approval/review and policy exception requests

🎯 Requirements

• Knowledge of financial services industry and B/D regulatory rules • 3–5 years of compliance supervisory experience • Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals the supervisor supervises • Strong oral and written communication skills • Demonstrated conflict management • Ability to deliver difficult messages • Demonstrated ability to influence • Demonstrated advanced analysis and problem-solving skills • Active Series 7 • Active Series 24 • Active State IAR registration (S65 or S66) • Active State securities agent registration (S63 or S66) • Valid work authorization that does not now or in the future require visa sponsorship for employment in the United States • Preferred: 5–7 years of compliance supervisory experience • Preferred: Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, and ability to manage multiple tasks

🏖️ Benefits

• Pay-for-performance compensation philosophy • Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role • Vacation time • Sick time • 401(k) • Health insurance • Dental insurance • Life insurance • Reasonable accommodations during the recruitment process for individuals with disabilities