Remote Regional Supervising Principal – Financial Services

RiverSource Life Insurance Company

Minneapolis (MN)

Remote

USD 115,000 - 158,000

Full time

48 hours ago

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Benefits offered by this job

Health benefits

401(k)

Vacation and sick time

Life insurance

Job summary

RiverSource Life Insurance Company is seeking a Senior Region Registered Principal to supervise advisor activities, ensure compliance, and lead supervisory efforts within the OSJ. The role requires deep knowledge of broker-dealer regulations and strong risk-based decision-making.

The position is remote with a pay range aligned to senior-level leadership and eligibility for bonus and benefits. Prior FINRA regulation experience and supervisory success are essential.

Qualifications

Bachelor's degree or equivalent is required.
Maintains FINRA and state securities registrations (e.g., Series 7, 24, 63/66, 65/66 as applicable).
Strong leadership, communication, and regulatory oversight capabilities.
Experience supervising advisor practices and ensuring suitability and compliance.

Responsibilities

Supervise advisor practices and assess suitability across the book of business.
Conduct coaching, annual practice assessments, and office inspections.
Review and enforce compliance, records retention, and policy adherence.
Partner with corporate teams to identify issues and drive remediation.

Skills

Leadership

Regulatory compliance

Supervisory experience

FINRA registrations

Relationship management

Coaching

Analytical thinking

Communication skills

Education

Bachelor's degree or equivalent

Job description

The position is remote with a pay range aligned to senior-level leadership and eligibility for bonus and benefits. Prior FINRA regulation experience and supervisory success are essential.

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