Regional Registered Principal

Key Responsibilities :

• Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place.

• Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.

• Act as primary point of contact for advisors and staff on compliance and supervision related items.

• Engage with Financial Institution (FI) partners (e.g., program managers) to communicate issues and trends from a supervisory perspective.

Required Qualifications :

• Bachelor’s degree or equivalent (4-years)

• 3 - 5 years relevant experience required

• Active FINRA Series 7

• Active FINRA Series 24

• Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days

• Strong knowledge of financial services industry, Ameriprise products and services, and the financial planning process.

• Strong knowledge of B/D regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures.

• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals being supervised.

• Strong oral and written communication skills, demonstrated conflict management, and ability to lead.

• Self-motivated with the ability to achieve results in an independent environment.

• Aptitude with technology and ability to manage multiple tasks.

• Training and delivery experience.

• Demonstrated advanced analysis and problem-solving skills.

• Ability to travel 25% to 40% of the time.

Preferred Qualifications :

• Demonstrated ability to use technology and tools (e.g. Teams, MS Office) to gain efficiencies and speed.

• Direct supervisory experience

• Experience with NDIP business

About Our Company
We’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 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.

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