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.
Job Description
Our team has a number of key responsibilities to support our advisors service model and growth through marketing and communications in a fun and flexible environment. The role of the Sales Supervision Manager - Advisor Created Material Review (ACMR) will be focused on reviewing advisor created marketing materials (print ads, videos, seminar & event related materials, websites, social media) and other types of advisor-generated retail communications.Success in this role includes providing advisors with feedback, coaching and collaboration on creating compliant marketing materials. In addition, the Sales Supervision Manager - ACMR will be aware of trends in the industry and educate advisors, leaders and business partners as needed.
Key Responsibilities
- Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
- Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
- Support the team's efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most.
- Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
- Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
- Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.
- Collaborate with peers to share best practices and incorporate efficiencies developed in other areas.
Required Qualifications
- Bachelors degree or equivalent.
- 5 - 7 years relevant experience required.
- Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
- Active SIE (Securities Industry Essentials)
- Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; Series 63 or 66 or the ability to obtain is also required.
Preferred Qualifications
- Problem solving and analytical skills; ability to effectively analyze complex issues.
- Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
- Strong written and verbal communication skills including ability to deliver unfavorable messages.
- Ability to consistently influence positive behavior through coaching and education.
- Ability to document activity in a fact-based and comprehensive manner.
- Ability to work effectively and efficiently both individually and in a team environment.
- Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.
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-OfficeCollaboration
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,productivityand personal connection, wedeliver forour stakeholders - clients, advisors,employeesand shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may requireadditionalin-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Base Pay Salary
The estimated base salary for this role is $ 87,400-$ 120,200/ 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
Legal AffairsLine of Business
AWMBD 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.
VEVRAA Federal Contractor.
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.
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.
Job Description
Our team has a number of key responsibilities to support our advisors service model and growth through marketing and communications in a fun and flexible environment. The role of the Sales Supervision Manager - Advisor Created Material Review (ACMR) will be focused on reviewing advisor created marketing materials (print ads, videos, seminar & event related materials, websites, social media) and other types of advisor-generated retail communications.Success in this role includes providing advisors with feedback, coaching and collaboration on creating compliant marketing materials. In addition, the Sales Supervision Manager - ACMR will be aware of trends in the industry and educate advisors, leaders and business partners as needed.
Key Responsibilities
- Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
- Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
- Support the team's efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most.
- Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
- Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
- Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.
- Collaborate with peers to share best practices and incorporate efficiencies developed in other areas.
Required Qualifications
- Bachelors degree or equivalent.
- 5 - 7 years relevant experience required.
- Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
- Active SIE (Securities Industry Essentials)
- Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; Series 63 or 66 or the ability to obtain is also required.
Preferred Qualifications
- Problem solving and analytical skills; ability to effectively analyze complex issues.
- Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
- Strong written and verbal communication skills including ability to deliver unfavorable messages.
- Ability to consistently influence positive behavior through coaching and education.
- Ability to document activity in a fact-based and comprehensive manner.
- Ability to work effectively and efficiently both individually and in a team environment.
- Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.
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-OfficeCollaboration
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,productivityand personal connection, wedeliver forour stakeholders - clients, advisors,employeesand shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may requireadditionalin-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Base Pay Salary
The estimated base salary for this role is $ 87,400-$ 120,200/ 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
Legal AffairsLine of Business
AWMBD 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.
VEVRAA Federal Contractor.
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.
About Ameriprise Financial
For 125 years, we have remained true to our vision of putting our clients' interests first. We are passionate about helping you live the full and rich life you’ve earned and committed to helping you be brilliant.
A company with integrity.
Integrity has been a core value since we were founded by John Tappan in 1894. It's how, through panics, recessions, the Great Depression, and the recent Great Recession, we've grown into a global financial leader. We've never lost our focus on our clients. That's who we are.
We have more than $875 billion in assets under management and administration.
We maintain leadership positions in each of our core business segments: Advice & Wealth Management, Asset Management, Annuities, and Protection.
We have more than 2 million individual, business, and institutional clients.
Our Leaders
Part of our strength as a company comes from the strength of our leadership—an experienced and long-tenured team.
Our Locations
Ameriprise Financial was founded and is headquartered in Minneapolis. We also have corporate offices throughout the United States and across the globe, including New York, Boston, London, and India.
Our History
Since 1894, we at Ameriprise Financial have been helping millions of clients invest towards their financial goals and dreams.