Sales Supervision Manager - Annuities

Ameriprise • Charlotte, NC

6d • Hybrid

About The Position

The Annuity Supervision Team provides oversight of annuity and insurance business activities while supporting advisors and clients. Sales Supervision Managers conduct supervisory reviews of advisor interactions with clients and prospects, including recommendations and sales of annuity and insurance products. They apply subject matter expertise to evaluate suitability, mitigate risk, and promote sound business practices.

The role involves collaborating regularly with advisors and field leaders, communicating clearly and professionally, and synthesizing information from multiple systems to make informed decisions. Successful candidates are analytical, collaborative, and adaptable, with an interest in keeping current on regulatory and industry trends. The position is based on in-office collaboration, with employees working in the office at least four days per week and having flexibility to work from home one day per week.

Requirements

• Bachelor's degree or equivalent.
• At least 5 years of relevant work experience; relevant experience may include financial services, customer service, communications, education, or other experience that builds skills for the role.
• Active SIE (Securities Industry Essentials) license.
• Active Series 7 license or ability to obtain it within 120 days.
• Active Series 24 license or ability to obtain it within 90 additional days.
• Additional licenses or ability to obtain them may be required depending on function.

Nice To Haves

• Problem-solving and analytical skills, including the ability to analyze complex issues effectively.
• Good judgment when making decisions on complex matters without clear answers.
• Strong written and verbal communication skills, including the ability to deliver unfavorable messages.
• Ability to influence positive behavior consistently through coaching and education.
• Ability to document activity in a fact-based and comprehensive manner.
• Ability to work effectively and efficiently both independently and in a team.
• Ability to manage workload across multiple tools and processes, including prioritizing and monitoring pending cases.
• Technical product knowledge related to annuities.
• Strong knowledge of FINRA, SEC, and other regulatory bodies' rules relevant to applicable product lines.

Responsibilities

• Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance business.
• Determine approval or rejection of new applications.
• Communicate with advisors and field leaders 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 a subject matter expert by providing information and research to business partners.
• Support efforts to innovate and improve the effectiveness and efficiency of processes.
• Stay current on regulatory changes and the competitive landscape, including new regulations and product offerings.
• Help maintain the overall health of the team, including establishing individual development goals and participating in team activities.
• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.

Benefits

• Vacation time
• Sick time
• 401(k)
• Health insurance
• Dental insurance
• Life insurance
• Variable pay may be available in the form of bonuses, commissions, and/or long-term incentives, depending on the role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level