Regional Registered Principal

Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned.

Key Responsibilities :

• Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place.

• Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.

• Act as primary point of contact for advisors and staff on compliance and supervision related items.

• Engage with Financial Institution (FI) partners (e.g., program managers) to communicate issues and trends from a supervisory perspective.

Required Qualifications :

• Bachelor’s degree or equivalent (4-years)

• 3 - 5 years relevant experience required

• Active FINRA Series 7

• Active FINRA Series 24

• Active State IAR registration (S65 or S66) or ability to obtain within 150 days

• Strong knowledge of financial services industry, Ameriprise products and services, and the financial planning process.

• Strong knowledge of B/D regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures.

• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals being supervised.

• Strong oral and written communication skills, demonstrated conflict management, and ability to lead.

• Self-motivated with the ability to achieve results in an independent environment.

• Aptitude with technology and ability to manage multiple tasks.

• Training and delivery experience.

• Demonstrated advanced analysis and problem-solving skills.

• Ability to travel 25% to 40% of the time.

Preferred Qualifications :

• Demonstrated ability to use technology and tools (e.g. Teams, MS Office) to gain efficiencies and speed.

• Direct supervisory experience

• Experience with NDIP business

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 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

The estimated base salary for this role is $77,100 - $133,100 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

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

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Business Support & Operations

Line of Business  

AFIG Ameriprise Financial Institutions Group Apply