Sales Supervision Manager - Specialized Trends and Reports
The Specialized Trends and Reports Team has a number of key responsibilities. This team is responsible of reviewing business trends across advisor practices based on red flags in the practice. In addition, they 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. The Sales Supervision Manager - Specialized Trends and Reports will have work assigned based on skill set and experience. Responsibilities
• Conduct sales practice reviews surrounding products such as general securities, options, annuities, insurance, and managed 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 determine 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 work load and be able to prioritize competing projects
• Serve as subject matter expert to a range of business partners, including CSU staff and employees in Legal or Compliance Required Qualifications
• Bachelor's degree or equivalent and relevant work experience.
• At least 5 years financial services industry experience with proven success in sales supervision, compliance, or other advisor-facing functions.
• Demonstrated problem solving and analytical skills; ability to effectively analyze complex issues.
• Demonstrated ability to consistently exercise good judgment when making 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 advisor compensation adjustments, difficult client conversations and/or discipline with advisors, field RPs and other leaders.
• Must have the ability to consistently influence positive advisor behavior through coaching and education.
• Ability to record evidence of supervision in a fact based manner.
• Working knowledge of FINRA, SEC and other regulatory bodies' rules relevant to the applicable product lines. Must have working knowledge of the Ameriprise Compliance Manual.
• Demonstrated strategic thinking expertise.
• Strong proficiency with computer programs and a demonstrated ability to use technology to improve efficiency.
• Ability to work effectively and efficiently both individually and in a team environment.
• Series 7 required; series 24, 63/65 or 66 required within 120 days concurrently About Our Company
With the right company, life can Be Brilliant®. 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 and we can Be Brilliant® together.
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.