Franchise Reg Principal-2

Ameriprise Financial; St. Louis (MO); Hybrid; USD 87,000 - 131,000; Full time

Benefits offered by this job

Competitive benefits

In-office collaboration

Job summary

Ameriprise Financial is seeking a Field Registered Principal for remote work in Missouri/Kansas with in-office collaboration. The role focuses on supervising an advisor practice, ensuring regulatory compliance, and coaching advisors on supervisory policies and procedures.

Required qualifications include Series 7, Series 24, and State IAR (S65/S66) registrations, plus investor- and client-facing responsibilities. The role emphasizes governance, risk management, and effective communication.

Qualifications

• Experience supervising financial services professionals in a regulated environment.
• Ability to review advisor activity and ensure regulatory compliance.
• Strong written and verbal communication skills.

Responsibilities

• Provide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors.
• Proactively support advisors to run compliant, business-focused practices.
• Document 1:1 interactions and observations of sales activity and suitability of recommendations.

Skills

Compliance supervision

Conflict management

Communication skills

Analytical skills

Influence

Problem solving

Job description

About Our CompanyWe’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.Job DescriptionField Registered Principal remote in Missouri/KansasKey ResponsibilitiesProvide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors. Proactively work with advisors to support their effort to run a compliant practice. This includes:Conducting and documenting ongoing 1:1 interactionsProviding feedback and documenting observations related to the advisor’s sales activity and suitability of the advisor’s recommendationsInspecting registered offices under your supervision pursuant to Ameriprise Financial policyAdministering discipline and education corrective processes when appropriateCoaching advisors on supervisory policies and proceduresActing as the main resource for advisors on compliance tasksValidating appropriate advisor training is taking placeProactively detect violations of policy or procedure through:Responding to corporate requests to review advisor activityMaking client callsAnalyzing reports and other metrics for trendsAs prescribed by the Written Supervisory Procedures, accurately and completely follow-up, review and sign-off or reject advisor activity.Identify and provide response to issues identified by corporate business partners. This includes:Working with Centralized Supervision Unit and Compliance on escalated issues and supervision plansWorking with Compliance on complaintsWorking with Legal on investigationsResolving issues identified in field office inspectionsComplying with record keeping processes, required use of certain technology tools and systemsCollaborating with Supervision and Compliance on outside business activity approval/review and policy exception requestsRequired QualificationsKnowledge of financial services industry and B/D regulatory rules3–5 years of compliance supervisory experienceDemonstrated ability to exercise sound and impartial judgment in addressing issues with individuals the supervisor supervisesStrong oral and written communication skillsDemonstrated conflict managementAbility to deliver difficult messagesDemonstrated ability to influenceDemonstrated advanced analysis and problem-solving skillsActive Series 7Active Series 24Active State IAR registration (S65 or S66)Active State securities agent registration (S63 or S66)Preferred Qualifications5-7 years of compliance supervisory experienceSelf-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasksVisa SponsorshipApplicants must have a valid work authorization that does not now or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).In-Office CollaborationWe are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders – clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or specific requirements will be discussed during the hiring process.Base Pay SalaryThe estimated base salary for this role is $87,400-131,000/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.Full-Time/Part-TimeFull timeExempt/Non-ExemptExemptJob Family GroupLegal AffairsLine of BusinessAWMBD Advice and Wealth Mgmt and Business DevelopmentAmeriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.