Sales Supervision Manager

Ameriprise Financial • Troy, MI • 3w ago

Job Code: R25_0000001054

As the Sales Supervision Manager, you will review 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 led accounts and retail brokerage accounts. You will have an opportunity to tailor work based on interest, skills, and need on this dynamic risk focused team.

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+ yrs relevant work experience

Active Series 7

Active Series 24 and 63/65 or 66 (or the ability to obtain within 120 days of start date. If multiple exams are required, will be done consecutively with an additional 90-day window after successfully passing each exam).

Demonstrated problem solving and analytical skills; ability to effectively analyze most sophisticated issues.

Ability to apply strong judgment when making sound, timely independent decisions on sophisticated matters that don't have clear answers.

Strong written and verbal communication skills. Must be able to effectively deliver unfavorable communications involving advisor compensation adjustments, 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 applying 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.

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