Success in this role includes an understanding of these products and how they operate in the financial markets. You will escalate issues requiring further research or action and work with business partners and field leaders to resolve identified issues. You will also provide coaching and training to advisors on trading and investment strategy policies.
Key Responsibilities
Review of supervisory alerts for transactions in equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level.
Supervision of new accounts and strategy changes in Brokerage and non-discretionary Managed Accounts.
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.
Required Qualifications
A Bachelor’s degree (in any field) and 2 years relevant work experience, or no degree with 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 SIE (Securities Industry Essentials) and ability to obtain Series 7 within 120 days, Series 24 within 90 additional days, and Series 9/10 or a combination of both Series 4 and 52/53 within 90 additional days, each.
Preferred Qualifications
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.
About Our Company
We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Base Pay Salary
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Exempt/Non-Exempt
Job Family Group
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Top Skills
What We Do
Ameriprise Financial has helped millions of clients feel confident about their financial futures for more than 125 years. Our network of approximately 10,000 financial advisors* delivers personalized financial advice to help clients reach their goals.
We believe that with the right advisor, the right advice, and the right firm, life can be brilliant.
Ameriprise has corporate locations throughout the U.S. and across the globe, and advisor offices in all 50 states.
Learn how you can build your career at Ameriprise Financial.
*Ameriprise Financial Q2 2020 Statistical Supplement
All content on this page is provided for informational purposes only and should not be used as the sole basis for investment decisions. Ameriprise Financial cannot guarantee future financial results. Investment products are not federally or FDIC insured, are not deposits or obligations of, or guaranteed by, any financial institution, and involve investment risks including possible loss of the entire amount invested.
By clicking on a hyperlink, you may be directed to a non-Ameriprise website. Be aware that the linked site will be subject to rules, regulation, and privacy and security provisions that are separate, and may differ, from Ameriprise Financial.
Investment advisory products and services are made available through Ameriprise Financial Services, LLC., a registered investment adviser.
