Sales Supervision Mgr-Central Supervision Unit

Ameriprise Financial Services, LLC•Minneapolis, MN

4d•Hybrid

About The Position

Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of the Sales Supervision Manager will involve 2 supervisory functions: supervision of IRA Rollovers from employer sponsored retirement plans and reviews of home office and advisor-disclosed trading errors. You will review trades/transactions across all product types. You will confirm the nature and extent of the activity, evaluate for solutions as needed, and escalate situations that require further review and/or alternate solutions. You will provide advisors with feedback and coaching to drive compliant sales practices with these products. Success in this role will require a wide knowledge of products and systems used by advisors and staff and effective communication skills when requesting additional information and providing feedback, coaching, and direction.

Requirements

A bachelor’s degree and 2 years relevant work experience or 3 years relevant work experience.
Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
Active Series 7 required
Additional active licenses or the ability to obtain the following: Series 24 and 63/65 or 66 - or the ability to obtain within 120 days of start date.
Additional licenses or the ability to obtain may be required depending on function 9/10 or 4/53. If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added after successfully passing each exam.

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

Provide Registered Principal supervision of IRA rollover activity and other business lines as needed, including advisor and client outreach, communicating supervisory results to advisors and field leaders, and serving as a subject matter expert to key business partners and CSU Sales Supervision Managers.
Evaluate requests to change trading activity and determine the existence of a trading error, including the full extent of the error and potential changes needed.
Communicate effectively to business partners (including advisors and field staff) for further action to resolve issues and escalate to appropriate parties depending on risk present in the situation.
Deliver coaching, training, and education to advisors and field staff, including one-on-one guidance to support effective supervision, regulatory adherence, and consistent execution of supervisory expectations.
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