Sales Supervision Mgr

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 – Specialized Trends and Reports is responsible for reviewing business trends across advisor practices. In addition, you will play a key role in supervising business activities such as heightened supervision plans, non-conventional business practices, and journaling of cash and securities between managed accounts and retail brokerage accounts. You will have an opportunity to tailor work based on interest, skillset, and need on this dynamic, risk-focused team.
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.

Key Responsibilities

• Conduct sales practice reviews surrounding products such as general securities, options, annuities, insurance, and handled accounts.

• Communicate with advisors and field leaders regarding results of supervisory activity.

• Deliver one-on-one training and education to advisors.

• Communicate with clients regarding activity to resolve suitability.

• Supervise specialized reports and referrals designed to identify potential policy violations and unique trading patterns.

• Build relationships with business partners to coordinate supervision of new or one-off supervision requests.

• Be flexible to handle a fluctuating workload and be able to prioritize contending projects.

• Serve as subject matter authority to a range of business partners, including CSU staff and employees in Legal or Compliance.

Required Qualifications

• Bachelor's degree or equivalent, and 5 years minimum relevant work experience 
• Demonstrated problem solving and analytical skills; ability to effectively analyze most complex issues.
• Ability to use strong judgment when making sound, timely independent 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 account suitability, difficult advisor and client conversations, and/discipline discussions with field Registered Principals and other leaders. 
•  Strong ability to influence positive advisor behavior through coaching and education utilizing a supportive and consistent approach.  
•  Ability to record evidence of supervision in a fact based manner.
•  Strong knowledge of SEC and other regulatory bodies' rules relevant to the applicable product lines 
•  Demonstrated strategic thinker.
•  Strong proficiency with computer programs, applicable supervisory systems and tools, and a demonstrated ability to use technology to improve efficiency. 
•  Ability to work effectively and efficiently both individually and in a team environment.
•  Active Series 7 required

​​​​​​​Additional active licenses or the ability to obtain the following:

• **Active Series 24 and 63/65 or 66 - 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
We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.

The estimated base salary for this role is $85,700 - $115,700 / 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