Field Registered Principal

The Ameriprise Franchise Group (AFG) Registered Principal is responsible for
the sales and suitability of an advisor's entire book of business.

They must have an in-depth understanding of each advisor's practice, staff, and their branch or Office of Supervisory Jurisdiction (OSJ).

Remote work is considered for qualified candidates.

Key Responsibilities

• Responsible for an Office of Supervisory Jurisdiction.
• Provide front-line supervision to advisor practices while modeling Ameriprise leadership behaviors.
• Conduct annual advisor practice assessments.
• Document findings in the appropriate supervisory tools such as RP Doc Tool and Supervisory dashboards, and address issues with advisor related to their sales practices.
• Communicate and train advisors regarding results of supervisory activity through one-on-one training.
• Field Registered Principal calls and conference calls with various leaders and stakeholders, which includes being able to effectively communicate unfavorable results.
• Communicate findings with next level leaders and the Centralized Supervision Unit (CSU).
• RPs regarding trends, red flag behavior, and consequence management as appropriate.
• Supervises registered representatives required to have the SERIES 6 or 7 to perform their jobs.

Required Qualifications

• Bachelor's degree or equivalent and 5 years minimum relevant work experience OR 7 years of relevant work experience.
• Series 7, Series 24 and Series 65/66
• Resident State Insurance Licenses (Life) may be required, can obtain post hire
• 5 to 7 years' relevant experience in financial services industry.
• Strong knowledge of financial services industry, Ameriprise Financial products and services and the financial planning process.
• Strong knowledge of broker-dealer regulatory issues, and Ameriprise Financial compliance policies and procedures.
• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals they supervise.
• Strong oral and written communication skills, demonstrated conflict management, and ability to lead up.
• Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, and the ability to manage multiple tasks.
• Training and delivery experience; demonstrated advanced analysis and problem-solving skills.
• Experience with standard applications (Excel, Word, PPT, Outlook).

Preferred Qualifications

• Direct supervisory experience of financial services with general securities, variable insurance products, etc..

About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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 …