Advisor Marketing Compliance Lead

Ameriprise Financial; Charlotte (NC); Hybrid; USD 87,000 - 120,000; Full time

Job summary

Ameriprise Financial is conducting a search for a Sales Supervision Manager – Advisor Created Material Review (ACMR) to oversee the review of advisor-generated marketing materials and to coach advisors on compliance. The role emphasizes risk-based supervision, collaboration with field leaders, and ongoing education of staff.

The successful candidate will monitor regulatory changes, communicate findings, and help streamline processes while maintaining fiduciary standards across marketing

Qualifications

• Bachelor's degree or equivalent.
• 5–7 years of relevant experience.
• Active SIE.
• Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days.

Responsibilities

• Review advisor-created marketing materials (print ads, videos, seminars, websites, social media).
• Provide advisors with feedback, coaching, and collaboration on compliant materials.
• Stay informed on regulatory changes and educational needs for advisors and leaders.

Skills

Communication skills

Analytical skills

Problem solving

Coaching/education

Education

Bachelor's degree or equivalent

Active SIE

Tools

Series 7 eligibility

Series 24 eligibility

Job description

Ameriprise Financial is conducting a search for a Sales Supervision Manager – Advisor Created Material Review (ACMR) to oversee the review of advisor-generated marketing materials and to coach advisors on compliance. The role emphasizes risk-based supervision, collaboration with field leaders, and ongoing education of staff.

The successful candidate will monitor regulatory changes, communicate findings, and help streamline processes while maintaining fiduciary standards across marketing