Senior Registered Principal

🔥 3 minutes ago

🇺🇸 United States – Remote

💵 $115k - $158.2k / year

⏰ Full Time

🟠 Senior

👻 Ghost score 0%

What it means: the chance that no one is really hiring for this job.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.Why this score:

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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 and document front-line supervision and compliance oversight for advisor practices • Coach advisors and maintain ongoing engagement • Conduct annual practice assessments and office inspections • Perform sales and suitability reviews • Verify completion of compliance requirements • Administer corrective action, education, and disciplinary processes • Identify potential policy and procedural violations through targeted reviews of advisor activity and client outreach • Analyze supervisory reports and risk indicators • Partner with corporate business partners to identify, investigate, and resolve compliance and supervisory issues • Escalate and remediate issues appropriately • Ensure adherence to firm policies and recordkeeping requirements • Oversee regulatory and supervisory responsibilities for advisors within the assigned Office of Supervisory Jurisdiction

🎯 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 • Proven 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 with the 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 to support performance and regulatory compliance • Strong technical aptitude and ability to leverage technology to enhance supervision and oversight • Maintains all required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable • Valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States

🏖️ 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 arrangement • Reasonable accommodation support during recruitment and interviews

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