Job Information
Ameriprise Financial Senior Manager-Centralized Supervision Unit in Troy, Michigan
Leadership of a professional team of Registered Principals committed to best-in-class supervision of our annuity and insurance sales. In addition to providing guidance and motivation to a highly trained team, you will handle complex escalations in conjunction with field leadership, advisors, and clients. Analysis of risks associated with these sales will be handled with information received from multiple systems and in consideration of industry and company rules and best practices.
Key Responsibilities
- Provide leadership to team including assessment of performance through interactions, quality reviews, and analysis of metrics and giving real-time feedback to influence behavior.
- Monitoring of workflow and metrics to ensure quality supervision is completed timely.
- Consult with team members, other Supervision leaders, advisors and field leaders on escalated cases including advisor disagreements with policies and procedures.
- Represent team in field calls including communications related to business policy, supervisory impacts, and tool changes.
- Provide ongoing training to team members and support opportunities for growth and development through 1:1 conversations, team huddles and meetings.
- Drive 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. Ensure Operating Procedures and Written Supervisory Procedures (WSPs) are current and accurate.
- Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings and determine potential impacts to the team.
- Monitor team capacity and participate in decisions to replace/add staff as needed. Partner with HR to post and promote openings and interview and hire quality candidates.
- 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.
Required Qualifications
- Bachelor's degree preferred or equivalent and 5 years of relevant work experience.
- Active Series 7 and 24 OR Active Series 6 and 26.
- Active Series 63 or 66 (or combination of 63 and 65/IAR)
- Advanced problem solving and analytical skills.
- Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
- Ability to effectively analyze high complexity issues and translate analysis for a variety of audiences with varying skill levels.
- Strong written and verbal communication skills including ability to deliver unfavorable messages to both team members and advisors.
- Ability to consistently influence positive behavior through coaching and education.
- Ability to independently prepare and/or present materials for senior leaders.
- Knowledge of annuities and insurance, including industry practices
- Experience working with advisors and an understanding of advisor business practices and field structure
Ability to anticipate, proactively respond and independently prepare/present materials for senior leaders.
Preferred Qualifications
- Direct or indirect leadership experience.
- Ability to attract and retain high performing staff.
Expert knowledge of annuities and insurance, including industry practices.
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 indiv