Sales Supervision Manager - Complex Products & Rollovers

Ameriprise Financial, Inc.
Minneapolis, USA
May 13, 2022
Jun 12, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The core responsible of a Sales Supervision Manager is to support the growth of Ameriprise by effectively identifying, addressing and mitigating risks to our clients and our advisors. In a flexible team environment, this role will be focused on the direct sales supervision of IRA rollovers and alternative investments, including non-traded Real Estate Investment Trusts (REITs), Hedge Funds, Private Equity, Real Estate Private Placements, 1031 Exchanges and more.
To be successful in this role, you will provide advisors with feedback and coaching to drive compliant sales practices with these products. In addition, the Sales Supervision Manager must be supportive and adapt to a continuously changing environment while maintaining awareness of trends with advisors and in the industry.


  • Conduct registered principal supervision of IRA rollovers and alternative investment business. May cross-train and supervise other business lines, as needed.
  • Communicate with advisors, field registered principals (RPs) and field leaders regarding results of supervisory activity, including providing one on one coaching and delivering sensitive messages
  • Conduct outreach directly to clients related to supervisory reviews.
  • Serve as a subject matter expert for a range of business partners including advisors, field leaders, and other Central Supervision Unit (CSU) Sales Supervision Managers.
  • Proactively handle escalated and/or time sensitive business and issues.
  • Interact with Compliance and Legal and other business partners on advisor activity and trends

Required Qualifications

  • Bachelor's degree or equivalent, and 5 - 7 years minimum relevant work experience.
  • 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.
  • Additional active licenses or the ability to obtain the following:
    • Active Series 7 required.
    • Active Series 24, 4/53 or 9/10 and 63/65 or 66 (IAR in all states), or the ability to obtain as follows:
      • 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 after successfully passing each exam.

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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