Remote Senior Regional Compliance & Supervisory Principal

Ameriprise Financia; Minneapolis (MN); Remote; USD 115,000 - 158,000; Full time

Benefits offered by this job

Vacation time

401(k) plan

Health insurance

Dental insurance

Life insurance

Job summary

Ameriprise Financial is seeking a Field Registered Principal (Employee) to oversee advisor books of business for compliance and suitability across the OSJ. The role requires strong regulatory knowledge, leadership, and the ability to coach and influence at all levels.

You will lead front-line supervision, conduct annual practice assessments, office inspections, and risk reviews while coordinating with corporate partners to resolve issues and ensure adherence to WSPs and recordkeeping

Qualifications

• Bachelor's degree or equivalent is required.
• 7–10 years of relevant experience in financial services or broker-dealer supervision.
• Strong knowledge of the financial services industry, broker-dealer regulations and supervisory requirements.
• Proven ability to exercise sound judgment and make risk-based decisions in complex situations.
• Exceptional communication and relationship management across levels.

Responsibilities

• Provide front-line supervision and compliance oversight for advisor practices through coaching, assessments, inspections and reviews.
• Administer corrective action, education, and disciplinary processes.
• Identify policy and procedural violations through targeted reviews and risk indicators.
• Partner with corporate partners to resolve compliance and supervisory issues and ensure proper escalation and recordkeeping.

Skills

Regulatory knowledge

Leadership presence

Communication skills

Risk assessment

Training delivery

Education

Bachelor's degree or equivalent

Tools

Compliance software

Job description

Ameriprise Financial is seeking a Field Registered Principal (Employee) to oversee advisor books of business for compliance and suitability across the OSJ. The role requires strong regulatory knowledge, leadership, and the ability to coach and influence at all levels.

You will lead front-line supervision, conduct annual practice assessments, office inspections, and risk reviews while coordinating with corporate partners to resolve issues and ensure adherence to WSPs and recordkeeping