Advisor Materials Review & Compliance Manager

00015 Ameriprise Financial Services, LLC.; Minneapolis (MN); On-site; USD 87,000 - 120,000; Full time

Job summary

Ameriprise Financial is seeking a Sales Supervision Manager – ACMR to review advisor created marketing materials (print ads, videos, seminars, websites and social media) for compliance and risk. You will provide feedback, coaching and collaboration to ensure materials meet fiduciary and best interest standards.

In this in-office role, you will keep up to date with regulatory changes, communicate results to field leaders, and help drive process improvements while supporting a client-centric,

Qualifications

• Bachelor’s degree or equivalent.
• 5–7 years of relevant experience in financial services, customer service, communications, or related fields.
• Active SIE (Securities Industry Essentials).
• Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days; additional licenses may be required depending on function.

Responsibilities

• Complete supervisory analysis using risk-based judgement, procedures, and job aids.
• Communicate with advisors and leaders regarding results and validate fiduciary and best interest standards.
• Support the team’s efforts to innovate and improve processes to enhance efficiency.
• Stay updated on regulatory changes and competitive landscape including new regulations and product offerings.
• Represent the firm in examinations, investigations and other regulatory matters as needed.
• Mentor team members and contribute to overall team health and engagement.
• Collaborate with peers to share best practices and improve efficiency across areas.

Skills

Financial services knowledge

Customer service

Communication skills

Regulatory awareness

Education

Bachelor's degree or equivalent

Job description

Ameriprise Financial is seeking a Sales Supervision Manager – ACMR to review advisor created marketing materials (print ads, videos, seminars, websites and social media) for compliance and risk. You will provide feedback, coaching and collaboration to ensure materials meet fiduciary and best interest standards.

In this in-office role, you will keep up to date with regulatory changes, communicate results to field leaders, and help drive process improvements while supporting a client-centric,