Manager, Central Supervision Unit

Ameriprise•Troy, MI

About The Position

Our team has a number of key responsibilities to support our advisor service model and growth through marketing and communications in a fun and flexible environment. The role of the Sales Supervision Manager – Marketing and Communications will be focused on reviewing and signing off on email, written correspondence, websites, performance reports, and wholesaler reimbursement. Success in this role includes providing advisors with feedback and coaching on these platforms. In addition, the Sales Supervision Manager – Marketing and Communications will be aware of trends in the industry to educate advisors, leaders and business partners.

Requirements

Bachelor’s degree
3-5 years' relevant experience
Active SIE (Securities Industry Essentials)
Active Series 7 or the ability to obtain within 120 days
Active Series 63/65 or 66 or ability to obtain within 120
Active Series 24 or ability to obtain within an additional 120 days

Nice To Haves

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.

Responsibilities

Supervising advisor marketing and communications activities with a focus on email, written correspondence and website updates and maintenance.
Collaborating with advisors and field leaders to provide coaching and feedback to ensure compliance with Ameriprise and industry standards.
Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most.
Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities