Job Description

Provide front line supervision of the discretionary Trading platform (SPS Advisor) direct sales supervision of discretionary trading platform (SPS Advisor), including risk-based reviews in targeted areas requiring technical expertise for a variety of products and investment strategies involving: equities, fixed income, mutual funds, unit investment trusts, options, managed accounts, etc. Escalate issues requiring further research or action and work with business partners and field leaders to resolve identified issues. Provide coaching and training to Advisors on discretionary trading policies.

About Our Company

At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.

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.

Preferred Qualifications

• Experience in sales supervision or compliance functions.
• Familiarity with or involvement in regulatory requests.

Responsibilities

• Supervise trading activity for a variety of products and investment strategies, including equities, fixed income, mutual funds, UIT's, options, etc
• Supervise new account opening for SPS Advisor
• Conduct periodic reviews of account and practice level activity to determine appropriateness
• Meet quality and time standards
• Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity, including providing one-on-one coaching and delivering sensitive messages
• Serve as subject matter expert to a range of business partners, CSU staff, and employees in Legal and Compliance
• Contribute to innovation and efficiency efforts by constructively identifying problems/ideas and responding to changes that improve supervision quality, consistency, and efficiency

Required Qualifications

• Bachelor's degree or equivalent and relevant work experience.
• At least 5 years financial services industry experience with proven success in sales supervision, compliance or other advisor-facing functions.
• Demonstrated problem solving and analytical skills; ability to effectively analyze complex issues.
• Demonstrated ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
• Strong written and verbal communication skills. Must be able to effectively deliver unfavorable communications involving advisor compensation adjustments, difficult client conversations and/or discipline with advisors, field RPs and other leaders.
• Must have the ability to consistently influence positive advisor behavior through coaching and education.
• Ability to record evidence of supervision in a fact based manner.
• Working knowledge of FINRA, SEC and other regulatory bodies' rules relevant to the applicable product lines. Must have working knowledge of the Ameriprise Compliance Manual.
• Demonstrated strategic thinking expertise.
• Strong proficiency with computer programs and a demonstrated ability to use technology to improve efficiency.
• Ability to work effectively and efficiently both individually and in a team environment.
• Additional active licenses or the ability to obtain the following:
• Active Series 7 required.
• Active Series 24, 4/53 or 9/10 and active state securities agent registration (S63 or S66) and state IAR registration (S65 or S66)
• These exam licenses, if not actively held, need to be passed within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added the after successfully passing each exam