Senior Region Registered 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

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 DescriptionThe Field Registered Principal (Employee) is responsible for supervising the sales activities and suitability of each advisor’s entire book of business in accordance with the Written Supervisory Procedures (WSPs). This role requires a comprehensive understanding of the advisors’ practices, operations, and support staff within their assigned Office of Supervisory Jurisdiction (OSJ) to effectively oversee regulatory and supervisory responsibilities.Key ResponsibilitiesProvide and document front-line supervision and compliance oversight for advisor practices through coaching, ongoing engagement, an annual practice assessment, office inspections, sales and suitability reviews, and verification of compliance requirement completion. Administer corrective action, education, and disciplinary processes.Proactively identify potential policy and procedural violations through targeted reviews of advisor activity, client outreach, and analysis of supervisory reports and risk indicators.Partner with key corporate business partners to identify, investigate, and resolve compliance and supervisory issues, ensuring appropriate escalation, remediation, and adherence to firm policies and recordkeeping requirements.Required QualificationBachelors degree or equivalent.7-10 years of relevant experience required.Strong knowledge of the financial services industry, broker-dealer regulations, and supervisory requirements.Proven ability to exercise sound judgment and make balanced, risk-based decisions in complex situations.Exceptional communication and relationship management skills, with the ability to influence stakeholders at all levels.Demonstrated success managing conflict, delivering difficult messages, and driving accountability.Strong leadership presence with the ability to coach, develop, and influence advisors and business partners.Self-directed and results-oriented, with the ability to manage competing priorities in a fast-paced environment.Advanced analytical and problem-solving skills, including the ability to identify risks and implement effective solutions.Experience developing and delivering training to support performance and regulatory compliance.Strong technical aptitude and ability to leverage technology to enhance supervision and oversight.Maintains all required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable.Preferred QualificationsSelf-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasks.Visa 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).Remote WorkThis position is remote. Any expectations for travel or in-person collaboration will be discussed during the hiring process.Base Pay SalaryThe hourly pay for this position is $115,000 - $158,200. 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.