Manager - Central Supervision Unit

Sales Supervision Managers (SSMs) have several key responsibilities to support our advisors and clients. This role is responsible for supervisory analysis of advisor business with clients and prospects which include the offer of annuity and insurance products or services. 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.

Primary Responsibilities Include:

• Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance products.
• Determine approval or rejection of new applications, appropriateness of transactions, or ongoing business.
• Communicate with advisors and field leaders as part of the process to complete supervisory reviews of business activity.
• Improve advisor policy adherence through coaching and training.
• Communicate with clients, when needed, regarding activity to determine suitability.
• Serve as subject matter expert providing information and/or research to a range of business partners including Supervision staff and employees in Legal or Compliance.
• Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes.
• Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
• Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.
• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.

Required Qualifications

• Bachelor's degree or equivalent and 2 years minimum relevant work experience OR 3 years of relevant work experience in financial services, customer service, communications, education or other fields that have built the skills needed to be successful in this role.
• Active Series 6 OR Active Series 7.
• Problem solving and analytical skills; ability to effectively analyze complex issues.
• Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
• Strong written and verbal communication skills including ability to deliver unfavorable messages.
• Ability to consistently influence positive behavior through coaching and education.
• Ability to document activity in a fact-based and comprehensive manner.
• Ability to work effectively and efficiently both individually and in a team environment.
• Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.

Additional active licenses or the ability to obtain the following:

• **Active Series 24 or 26 and 63/65 or 66 - or the ability to obtain as follows:
• **These exam licenses, if not actively held, need to be passed within 120 days of start date. If multiple exams are required, they can be done consecutively and an additional 90-day window will be added after successfully passing each exam.

Preferred Qualifications

• Technical product knowledge related to annuity and insurance products.
• Industry designation(s) such as CFP, ChFC or CLU.
• Professional credentials such as MBA or JD.

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 Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

The estimated base salary for this role is $85,700 - $115,700 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Full time

Exempt

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