What are the responsibilities and job description for the Mgr-Central Supervision Unit position at Ameriprise Financial?
To be successful in this role, you will provide advisors with feedback, coaching and collaboration on creating compliant marketing materials. . In addition, the Sales Supervision Manager – ACMR will be aware of trends in the industry and educate advisors, leaders and business partners as needed.
This position will follow our hybrid schedule (two days in office) in the following locations: Charlotte, NC; Las Vegas, NV; Minneapolis, MN or Troy, MI.
Key Responsibilities
- Review and approve advisor created marketing materials These items will be reviewed from a brand and regulatory compliance perspective to ensure they are truthful, accurate, balanced and not misleading.
- Consult with advisors on aligning their materials with compliance, brand and company policies and regulatory standards.
- Interact with Marketing, Compliance Communication Review Group, Compliance Policy, Brand, Legal and other business partners outside of the Risk Mitigation department as necessary prior to RP approval.
- Occasionally this position will also be required to serve as a Supervision Marketing and Communications subject matter expert in department meetings with business partners as well as field representatives.
- The candidate will be expected to effectively handle escalated and sensitive issues.
- Contact with advisors and field leaders will also be required.
Required Qualifications
- Bachelor's degree or equivalent, and 5 years minimum relevant work experience
- Active Series 7, 24 and 63/66 required
- Demonstrated problem solving and analytical skills; ability to effectively analyze most complex issues.
- Ability to use strong judgment when making sound, timely independent decisions on complex matters that don’t have clear answers.
- Strong written and verbal communication skills including ability to deliver unfavorable messages.
- Strong ability to influence positive advisor behavior through coaching and education utilizing a supportive and consistent approach.
- Ability to record evidence of supervision in a fact based manner.
- Strong knowledge of SEC and other regulatory bodies' rules relevant to the applicable product lines
- Demonstrated strategic thinker.
- Strong proficiency with computer programs, applicable supervisory systems and tools, and a demonstrated ability to use technology to improve efficiency.
- Ability to work effectively and efficiently both individually and in a team environment.
Preferred Qualifications
- 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.
Base Pay Salary
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Exempt/Non-Exempt
Job Family Group
Line of Business
Salary : $85,700 - $115,700
