Senior Region Registered Principal

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

About Our Company We’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.

The 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 Responsibilities

• Provide 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 Qualification

• Bachelors 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 Qualifications

• Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasks.

Visa Sponsorship

Applicants 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 Work

This position is remote. Any expectations for travel or in-person collaboration will be discussed during the hiring process.

Base Pay Salary

The estimated salary 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-Time

Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business AWMBD Advice and Wealth Mgmt and Business Development.

Ameriprise 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.

Since 1894, Ameriprise Financial has helped people feel more confident about their financial future. Guided by strong values and a deep commitment to clients, we’ve remained a trusted leader in financial planning and advice for more than 130 years. Through our businesses, Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance & Annuities, we deliver advice, investment and protection solutions designed for long-term success. While each business brings distinct capabilities and expertise, all are united by our unwavering focus on clients and a strong financial foundation.

For you, that means the opportunity to build a meaningful career in a high-performing, collaborative culture where your expertise can grow, your contributions are valued and your work can make a real impact. As a global financial services company with three complementary businesses, the breadth of our capabilities sets us apart. It also creates unique opportunities for employees to learn, collaborate and grow their careers:

Ameriprise Financial: Financial planning, advice and wealth management. Columbia Threadneedle Investments: Global asset management serving individual, institutional and corporate clients. RiverSource Insurance & Annuities: Products and solutions designed to help clients protect and grow their wealth.

Explore opportunities within each business and region below.

Ameriprise US | Careers Ameriprise India | Careers Columbia Threadneedle Investments US | Careers Columbia Threadneedle Investments EMEA APAC | Careers RiverSource | Careers