Remote Field Compliance Principal: Advisor Oversight

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

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.