Sales Supervision Mgr

The Advice Supervision team performs direct sales supervision of investment advisory services including Ameriprise Financial Planning Service (AFPS) and assesses ongoing suitability of SPS Advantage, SPS Advisor, as well as other investment advisory accounts.
The role of Sales Supervision Manager - Advice is responsible for holistic reviews of advisors' practices, targeted account suitability reviews, and other specialized review types designed to ensure accounts are suitable and in our clients' best interests.
Success in this role requires the ability to analyze complex data, exercise sound judgment, and collaborate effectively with advisors, field leaders, and business partners to identify and mitigate risk.

Key Responsibilities

• Provide direct supervision of investment advisory services to determine suitability of service and recommendations, adherence to ADVs, and assessment of fees.

• Evaluate and select targeted client advisory relationships for review by analyzing an advisor's practice to identify conditions that present the most risk to clients or the firm.

• Communicate with advisors, field registered principals, and field leaders regarding results of supervisory activity. This involves working closely with advisors to develop an understanding of recommendations and to reasonably validate fiduciary 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.

• 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 proceedings.

Required Qualifications

• 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 do not 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. 

• A bachelor’s degree and 3 years relevant work experience or 5 years relevant work experience. Relevant experience includes positions in financial services or other areas where you have built the skills needed to be successful in this role. 

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

• **Active Series 7, 24 and 63/65 or 66 - or the ability to obtain as follows:

• **These licenses, if not actively held, must be obtained 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

• Technical product knowledge related to investment products, advisory accounts, and/or financial planning. 

• Proficiency in Microsoft 365 applications, with an emphasis on Excel and/or Power Apps.

• Advanced industry designation(s) or professional credentials such as MBA, JD, CFP, ChFC, or CLU.

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 annual salary for this role is $87,400- $120,200. 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