Mgr-Central Supervision Unit

Ameriprise Financial Services, LLC•Minneapolis, MN

3d•$87,400 - $120,200•Hybrid

About The Position

Our team has key responsibilities to support our advisor service model and growth. The role of Sales Supervision Manager - Advice is responsible for holistic reviews of advisors' practices, targeted account suitability reviews, and multiple other specialized review types designed to ensure accounts are suitable and in our clients' best interests. The team performs direct sales supervision of investment advisory services including Ameriprise Financial Planning Service (AFPS) and assesses ongoing suitability of SPS Advantage and SPS Advisor accounts. Success in this role will include analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and various business partners to mitigate risk.

Requirements

Bachelor’s degree (in any field) and 2 years relevant work experience or 3 years relevant work experience in financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
Active Series 7 (if not actively held, must be able obtain within 120 days of start date. If multiple exams are required, will be done consecutively with an additional 90-day window after successfully passing each exam).
Active Series 24 and 63/65 or 66 (if not actively held, must be able obtain within 120 days of start date. If multiple exams are required, will be done consecutively with an additional 90-day window after successfully passing each exam).
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.
Technical product knowledge related to managed accounts and/or financial planning.

Nice To Haves

Problem solving and analytical skills; ability to effectively analyze complex issues.
Ability to consistently exercise good judgement 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

Direct supervision of advisory services to determine suitability of service and recommendations, adherence to ADVs and assessment of fee appropriateness.
Complete supervisory analysis using risk-based judgement, procedures, and job aids.
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.