Sales Supervision Manager - SPS Advisor Practice Management

Recruiter
Ameriprise Financial, Inc.
Location
Minneapolis, USA
Salary
Competitive
Posted
22 Sep 2022
Closes
06 Oct 2022
Ref
16541312
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Perform risk-based supervision on discretionary practice management processes, including performance and dispersion, to confirm the advisor is meeting program related expectations. Provide coaching and training to Advisors on discretionary trading policies. Build processes designed to strengthen the firm's Rep as Portfolio Manager program. Manage and influence multiple relationships across the organization, including product partners across business lines, field leaders, and senior level leaders. Escalate issues requiring further research or action and work with business partners and field leaders to resolve identified issues.

Responsibilities

  • Perform risk-based supervision on discretionary practice management processes, including performance and dispersion, to confirm the advisor is meeting program related expectations.
  • Communicate with advisors and field leaders regarding results of supervisory activity, including providing one-on-one coaching and delivering sensitive messages.
  • Analyze and interpret large sets of data to drive consistent practice management.
  • Document results and observations of supervising advisors SPS Advisor activity.
  • Serve as subject matter expert to a range of business partners, including CSU staff and employees in WMS Products, Service Delivery, Legal and Compliance.
  • The candidate will be expected to effectively handle escalated and sensitive issues.
  • Contact with advisors, field leaders and potential client interaction will also be required.
  • 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.
  • 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 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


Preferred Qualifications

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


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.
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