Franchise Reg Principal

Position: Franchise Reg Principal-2
Location: St. Louis

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.

Job Description Field Registered Principal remote in Missouri/Kansas

Key Responsibilities Provide front-line supervision to an advisor’s practice while modeling exemplary leadership behaviors. Proactively work with advisors to support their effort to run a compliant practice. This includes:

Conducting and documenting ongoing 1:1 interactions

Providing feedback and documenting observations related to the advisor’s sales activity and suitability of the advisor’s recommendations

Inspecting registered offices under your supervision pursuant to Ameriprise Financial policy

Administering discipline and education corrective processes when appropriate

Coaching advisors on supervisory policies and procedures

Acting as the main resource for advisors on compliance tasks

Validating appropriate advisor training is taking place

Proactively detect violations of policy or procedure through:

Responding to corporate requests to review advisor activity

Making client calls

Analyzing reports and other metrics for trends

As prescribed by the Written Supervisory Procedures, accurately and completely follow-up, review and sign-off or reject advisor activity.

Identify and provide response to issues identified by corporate business partners. This includes:

Working with Centralized Supervision Unit and Compliance on escalated issues and supervision plans

Working with Compliance on complaints

Working with Legal on investigations

Resolving issues identified in field office inspections

Complying with record keeping processes, required use of certain technology tools and systems

Collaborating with Supervision and Compliance on outside business activity approval/review and policy exception requests

Required Qualifications Knowledge of financial services industry and B/D regulatory rules3–5 years of compliance supervisory experience

Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals the supervisor supervises

Strong oral and written communication skills

Demonstrated conflict management

Ability to deliver difficult messages

Demonstrated ability to influence

Demonstrated advanced analysis and problem-solving skills

Active Series 7

Active Series 24

Active State IAR registration (S65 or S66)
Active State securities agent registration (S63 or S66)

Preferred Qualifications 5-7 years of compliance supervisory experience

Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasks

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 four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or specific requirements will be discussed during the hiring process.

Base Pay Salary The estimated base salary for this role is $87,/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may…