Registered Principal Jobs (NOW HIRING)

About Our Company

We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 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.

Job Description

Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager - Complex Products and IRA Rollover may be responsible for performing sales supervision of Structured Product transactions, non-traded Alternative Investments, including but not limited to non-traded Real Estate Investment Trusts, Business Development Companies, Hedge Funds, Private Equity, Real Estate Private Placements, Managed Futures, non-traded Closed-End- Funds, Exchange Funds, 1031 Exchanges and IRA Rollovers from employer sponsored retirement plans.
Success in this role will include analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and various business partners to mitigate risk. You are expected to remain supportive and flexible in a dynamic environment, while staying informed of emerging trends among advisors and across the industry.

Key Responsibilities

• Conduct registered principal supervision of structured product transactions, alternative investments, and IRA rollovers to ensure compliance with firm policies and regulatory requirements.
• Communicate outcomes of supervisory reviews to advisors, field registered principals (RPs), and field leaders, including delivering sensitive messages and providing constructive, one-on-one coaching.
• Provide targeted training and education to advisors to strengthen supervisory practices and mitigate risk.
• Conduct direct client outreach to support and facilitate supervisory reviews and resolve inquiries.
• Serve as a subject matter expert for advisors, field leadership, and Central Supervision Unit (CSU) Sales Supervision Managers across a range of supervisory topics.
• Proactively manage escalated, complex, and time-sensitive issues, ensuring timely resolution and appropriate risk mitigation.
• Partner with Compliance, Legal, and other business units to address advisor activity, emerging trends, and supervisory concerns.

In addition:

• Complete supervisory analysisusing risk-based judgement, procedures, and job aids. Thisusually results in approval or rejection of new applicationsor determination ofappropriateness of transactions orotherbusiness including communications with the public.

• Communicate with advisors, field registeredprincipalsand field leadersregardingresults of supervisory activity.Involvesworking closely with advisors to develop an understanding of recommendations made to clients and toreasonably validatefiduciary and best interest standards are met.

• Support the team's efforts to innovate and improve the effectiveness and efficiency of processes.Evolve day-to-day processes to streamline work and focus on issues that matter most.

• Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.

• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.

• Participate inmaintainingthe overall health of theteam,includingestablishingindividual development goals and engagement in team activities.

Required Qualifications:

• Bachelors degree or equivalent.
• 5 - 7 years relevant experience required. Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
• Active Series 7 required
• Additional active licenses or the ability to obtain the following: Series 24, 63/65 or 66, and 9/10 or 4/53 - or the ability to obtain 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.

Preferred Qualifications:

• 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 the 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.
• Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders - clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Base Pay Salary

The estimated base salary for this role is $87,400- $120,200 / 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.Full timeExemptLegal AffairsAWMBD Advice and Wealth Mgmt and Business Development

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.