Senior Region Registered Principal

🔥 0 minutes ago

❄️ Minnesota – Remote

❄️ Minnesota – Remote

💵 $115k - $158.2k / year

⏰ Full Time

🟠 Senior

👻 Ghost score 0%

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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

• Supervise the sales activities and suitability of each advisor’s entire book of business according to Written Supervisory Procedures • Understand advisors’ practices, operations, and support staff within the assigned Office of Supervisory Jurisdiction • Provide and document front-line supervision and compliance oversight • Coach advisors and maintain ongoing engagement • Conduct annual practice assessments, office inspections, sales and suitability reviews, and verification of compliance requirement completion • Administer corrective action, education, and disciplinary processes • Identify potential policy and procedural violations through targeted reviews, client outreach, supervisory reports, and risk indicators • Partner with corporate business partners to investigate and resolve compliance and supervisory issues • Escalate issues appropriately, implement remediation, and maintain required records

🎯 Requirements

• Bachelor's degree or equivalent • 7–10 years of relevant experience • Strong knowledge of the financial services industry, broker-dealer regulations, and supervisory requirements • Ability to exercise sound judgment and make balanced, risk-based decisions in complex situations • Exceptional communication and relationship management skills • Demonstrated success managing conflict, delivering difficult messages, and driving accountability • Strong leadership presence and ability to coach, develop, and influence advisors and business partners • Ability to manage competing priorities in a fast-paced environment • Advanced analytical and problem-solving skills • Experience developing and delivering training for performance and regulatory compliance • Strong technical aptitude and ability to leverage technology for supervision and oversight • Required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable • Valid U.S. work authorization that does not now or in the future require visa sponsorship

🏖️ Benefits

• 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 • Remote work

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