Description
Provide risk-based leadership and oversight to reduce regulatory risk in the region. Lead in a hybrid supervision model under the direction of the Region Vice President (RVP) and within a matrixed relationship to Risk Mitigation. In this role you will: train new and support existing Field Registered Principals (RPs); assess and provide feedback to Field RPs for development of ongoing supervision/mitigation of risk; educate the field on regulatory and supervision policies while effectively communicating with regional and executive leadership on potential trends and actions needed to mitigate risk. Ensure effective, documented supervision and strong scalable, repeatable supervisory processes. Partner with the corporate office to advise on scalable issues.Key Responsibilities:
Provide oversight through regular, effective, ongoing interactions with Field RPs and second level leaders to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken.
Educate, advise, and guide regional leadership on emerging trends, areas of supervisory strength or risk, and actions to mitigate risk. Engage corporate office partners to address risk. Develop effective oversight systems and processes to prioritize and address areas of highest risk. Lead implementation and drive uptake of new supervisory policies, tools, and systems.
Train new and existing field leaders and RPs and assess, address, and document the readiness of existing Field RPs to perform the six RP responsibilities of ongoing, risk-based supervision. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to determine where supervisory risk exists, and develop a plan to close related issues, while reporting back to the RVP.
Act as Strategic Business Partner to field leaders. Partner with RVP and Regional Director of Operations to implement a PMP process for RPs who are not meeting minimum expectations of the RP role, as necessary or appropriate. Prepare and present analysis of risk trends in the region for the semi-annual business line reviews.
Required Qualifications
Bachelor’s degree or equivalent (4-years)
7 to 10 years relevant experience required
Active FINRA Series 7
Active FINRA Series 24 or ability to obtain within 90 days
Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days
Active State IAR registration (S65 or S66) or ability to obtain within 150 days
Strong knowledge of financial services industry products, services, and financial planning
Working knowledge of Broker/Dealer regulatory issues, Ameriprise's hybrid model, supervisory policies, procedures, and systems
Effective personal presence and the ability to influence through training and personal interactions
Demonstrated effective analytical, diagnostic, investigative, and problem solving skills
Strong oral and written communication skills, demonstrated conflict management and collaborative skills, and ability to lead
Ability to travel 25-45% depending on territory size, numbers of RPs, and need for on-site oversight
Ability to work from an Ameriprise Advisor Group (AAG) Office
Preferred Qualifications:
Demonstrated ability to use technology and tools to gain efficiencies and speed
Self-motivated with the ability to achieve results in an independent environment, aptitude, and comfort with technology
Ability to manage multiple tasks
Strong people and relationship leadership skills
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).
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least five (5) days per week.
Base Pay Salary
The estimated base salary for this role is $100,000 - $158,200 / year. 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 timeExempt/Non-Exempt
ExemptJob Family Group
Business Support & OperationsLine of Business
AAG Ameriprise Advisor GroupSenior Regional Risk Manager • Tucson, Arizona
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