Job Description
The field Registered Principal position is responsible for the sales and suitability of the advisor’s book of business as outlined in the Written Supervisory Procedures (WSPs). They must have an understanding of each advisor’s practice, staff, and their branch or Office of Supervisory Jurisdiction (OSJ).
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.
The estimated base salary for this role is $74,000 /127,800 year. Base salaries are determined in part 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 support all aspects of your health and well-being.
Preferred Qualifications
- 3-5 years of compliance supervisory experience.
- Must be open to relocating if not currently residing in the territory (CT, RI, Western MA)
Responsibilities
- Provide supervision to an advisor’s practice while modeling outstanding leadership behaviors.
- 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 efficiently communicate unfavorable results.
- Document findings in appropriate tools such as Registered Principal Doc Tool and Supervisory Scorecard, and address issues with advisors of supervisory activities. Partner with next level leaders and Centralized Supervision Unit (CSU) Registered Principals regarding trends, red flag behavior, and consequence management as appropriate.
- Strong knowledge of financial services industry, Ameriprise products & services and the financial planning process.
- Strong knowledge of B/D regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures
- Shown ability to exercise sound and impartial judgement in addressing issues with individuals they lead.
- Strong oral and written communication skills tried conflict management and ability to lead up.
- Self-motivated with the ability to achieve results in an independent environment, competence with technology, ability to prioritize multiple tasks.
- Training and delivery experience; analysis and problem-solving skills.
Required Qualifications
- Strong knowledge of financial services industry, Ameriprise products & 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 judgement in addressing issues with individuals s/he supervises
- 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, ability to manage multiple tasks.
- Training and delivery experience; demonstrated advanced analysis and problem-solving skills.
- Active Series 7
- Active Series 24
- Active State IAR registration (S65 or S66)
- Active State securities agent registration (S63 or S66)