Job Information
Ameriprise Financial Manager Central Supervision Unit (R24_0000000232) in Minneapolis, Minnesota
The Annuities & Insurance Supervision team helps clients meet their goals in partnership with advisors by identifying, addressing, and mitigating risk while supervising annuity and insurance applications and transactions. As a Sales Supervision Manager, you will review transactions for annuity and insurance contracts to ensure appropriateness in accordance with the clients' best interests and provide pre-review support through consultation with advisors and their staff to create a smooth offer and submission process for advisors and clients. Success in this role will include analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and various business partners to mitigate risk. Key Responsibilities Primary responsibility is daily supervision of annuity and insurance accounts and trades; meeting productivity, quality, and time standard expectations. In addition: Conduct periodic reviews of account and practice level activity to determine appropriateness. Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity, including providing one-on-one coaching and delivering sensitive messages. Communicate findings with department and corporate business partners. Conduct outreach with clients related to supervisory reviews. Serve as subject matter expert to a range of business partners, Centralized Supervision Unit staff, and employees in Legal or Compliance. Contribute to innovation and efficiency efforts by constructively identifying problems/ideas and responding to changes that improve supervision quality, consistency, and efficiency. Required Qualifications Bachelor's degree or equivalent, and 5 years minimum relevant work experience. Demonstrated problem solving and analytical skills; ability to effectively analyze most complex issues. Ability to use strong judgment when making sound, timely independent decisions on complex matters that don't have clear answers. Strong written and verbal communication skills. Must be able to effectively deliver unfavorable communications and influence positive advisor behavior through coaching and education. Ability to record evidence of supervision in a fact-based manner. Demonstrated strategic thinker. Ability to work effectively and efficiently both individually and in a team environment. Active Series 7 required. Additional active licenses or the ability to obtain the following: Active Series 24 and state securities agent registration (Series 63 or Series 66) These exam licenses, if not actively held, need to be passed within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added after successfully passing each exam.