Sales Supervision Manager

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 River Source Insurance and Annuities.

Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager – Complex Products and IRA Rollover may be responsible for performing sales supervision of Structured Product transactions, non-traded Alternative Investments, including but not limited to non-traded Real Estate Investment Trusts, Business Development Companies, Hedge Funds, Private Equity, Real Estate Private Placements, Managed Futures, non-traded Closed-End
- Funds, Exchange Funds, 1031 Exchanges and IRA Rollovers from employer sponsored retirement plans. 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. You are expected to remain supportive and flexible in a dynamic environment, while staying informed of emerging trends among advisors and across the industry.

• Conduct registered principal supervision of structured product transactions, alternative investments, and IRA rollovers to ensure compliance with firm policies and regulatory requirements.
• Communicate outcomes of supervisory reviews to advisors, field registered principals (RPs), and field leaders, including delivering sensitive messages and providing constructive, one-on-one coaching.
• Provide targeted training and education to advisors to strengthen supervisory practices and mitigate risk.
• Conduct direct client outreach to support and facilitate supervisory reviews and resolve inquiries.
• Serve as a subject matter expert for advisors, field leadership, and Central Supervision Unit (CSU) Sales Supervision Managers across a range of supervisory topics.
• Proactively manage escalated, complex, and time-sensitive issues, ensuring timely resolution and appropriate risk mitigation.
• Partner with Compliance, Legal, and other business units to address advisor activity, emerging trends, and supervisory concerns.

• 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.

• Bachelors degree or equivalent.
• 5 - 7 years relevant experience required. Relevant experience includes financial services, customer service,…