Senior Field Compliance Principal — Advisor Oversight

00015 Ameriprise Financial Services, LLC.; Minneapolis (MN); Remote; USD 115,000 - 158,000; Full time

Benefits offered by this job

401(k) plan

Health, dental and life insurance

Paid time off (vacation & sick)

Job summary

Ameriprise Financial is seeking a Field Registered Principal (Employee) to supervise the sales activities and suitability of an advisor’s entire book of business in accordance with WSPs. This role requires understanding of advisor practices and Office of Supervisory Jurisdiction responsibilities.

The ideal candidate will possess 7–10 years of experience, a Bachelor’s degree, and strong knowledge of broker-dealer regulations. Remote work is available with travel as needed.

Qualifications

• Bachelor's degree or equivalent.
• 7-10 years of relevant experience.
• Strong knowledge of the financial services industry, broker-dealer regulations, and supervisory requirements.
• Proven ability to exercise sound judgment and risk-based decisions.
• Excellent communication and relationship management skills.
• Demonstrated success coaching advisors and driving accountability.
• Strong leadership with ability to influence stakeholders.

Responsibilities

• Provide and document front-line supervision and compliance oversight for advisor practices.
• Administer corrective action, education, and disciplinary processes.
• Identify potential policy violations through reviews and risk indicators.
• Partner with corporate teams to resolve supervisory issues and ensure policy adherence.

Skills

Regulatory oversight

Relationship management

Leadership presence

Communication skills

Risk assessment

Coaching

Education

Bachelor's degree or equivalent

Tools

FINRA registrations Series 7/24/63/66/65

Job description

Ameriprise Financial is seeking a Field Registered Principal (Employee) to supervise the sales activities and suitability of an advisor’s entire book of business in accordance with WSPs. This role requires understanding of advisor practices and Office of Supervisory Jurisdiction responsibilities.

The ideal candidate will possess 7–10 years of experience, a Bachelor’s degree, and strong knowledge of broker-dealer regulations. Remote work is available with travel as needed.