AFIG Registered Principal

Ameriprise•Minneapolis, MN

1d•Remote

About The Position

In this role, you will act as Registered Principal for one or more Field Vice President(s) in the Ameriprise Financial Institution Group (AFIG) channel. This includes providing frontline supervision of financial advisors in the span of control for OSJs assigned.

Requirements

3 - 5 years' relevant experience required
Bachelor’s degree or equivalent (4-years)
Active FINRA Series 7
Active FINRA Series 24
Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days
Ability to travel 25% to 40% of the time

Nice To Haves

Strong knowledge of financial services industry, Ameriprise products and services, and the financial planning process.
Strong knowledge of broker-dealer regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures.
Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals being supervised.
Strong oral and written communication skills, demonstrated conflict management, and ability to lead.
Self-motivated with the ability to achieve results in an independent environment.
Aptitude with technology and ability to manage multiple tasks.
Training and delivery experience.
Demonstrated advanced analysis and problem-solving skills.
Demonstrated ability to use technology and tools (e.g. Teams, MS Office) to gain efficiencies and speed.
Direct supervisory experience
Experience with Nondeposit Investment Products (NDIP) business

Responsibilities

Conduct frontline supervision for OSJs assigned.
Conduct supervisory reviews of financial advisors a minimum of once a year and spot checks, as required.
Conduct in-depth reviews to verify all regulatory policies and processes are in place.
Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities.
Communicate with Field Vice Presidents, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.
Act as primary point of contact for advisors and staff on compliance and supervision related items.
Engage with Financial Institution (FI) partners (e.g., program managers) to communicate issues and trends from a supervisory perspective.