Annuity & Insurance Sales Supervision Lead

Ameriprise Financial Services, LLC; Charlotte (NC); On-site; USD 87,000 - 120,000; Full time

Job summary

Ameriprise Financial Services, LLC is seeking a Sales Supervision Manager to oversee annuity and insurance supervisory reviews, ensuring suitability and regulatory compliance. The role collaborates with advisors and field leaders, balancing risk and client outcomes in a fast-paced environment.

Applicants should have a Bachelor’s degree and 5+ years in financial services, with active SIE, Series 7, and Series 24 licenses or ability to obtain within specified timelines.

Qualifications

• Bachelor's degree or equivalent, and 5+ years minimum relevant work experience.
• Active SIE
• Active Series 7 or ability to obtain within 120 days
• Active Series 24 or ability to obtain within 90 additional days
• Additional licenses or the ability to obtain may be required depending on function.

Responsibilities

• Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance business.
• Determine approval or rejection of new applications.
• Communicate with advisors and field leaders as part of the process to complete supervisory reviews of business activity.
• Improve advisor policy adherence through coaching and training.
• Communicate with clients, when needed, regarding activity to determine suitability.
• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.

Skills

SIE

Series 7

Series 24

Finance background

Education

Bachelor's degree or equivalent

Job description

Ameriprise Financial Services, LLC is seeking a Sales Supervision Manager to oversee annuity and insurance supervisory reviews, ensuring suitability and regulatory compliance. The role collaborates with advisors and field leaders, balancing risk and client outcomes in a fast-paced environment.

Applicants should have a Bachelor’s degree and 5+ years in financial services, with active SIE, Series 7, and Series 24 licenses or ability to obtain within specified timelines.