Manager, Supervision Unit

Join to apply for the Manager, Central Supervision Unit role at Ameriprise Financial Services, LLC

• Supervising advisor marketing and communications activities with a focus on email, written correspondence and website updates and maintenance.
• Collaborating with advisors and field leaders to provide coaching and feedback to ensure compliance with Ameriprise and industry standards.
• Complete supervisory analysis using risk-based judgment, procedures, and job aids to approve or reject new applications or determine appropriateness of transactions.
• Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity and validate fiduciary and best interest standards are met.
• Support the team’s efforts to innovate and improve effectiveness and efficiency of processes and evolve day‑to‑day processes to streamline work.
• 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.
• Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.

• Bachelor’s degree.
• 3-5 years relevant experience.
• Active SIE (Securities Industry Essentials).
• Active Series 7 or the ability to obtain within 120 days.
• Active Series 63/65 or 66 or ability to obtain within 120 days.
• Active Series 24 or ability to obtain within an additional 120 days.

• 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.

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.

The estimated base salary for this role is $87,400 – $120,200 per 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

Ameriprise Financial is an equal‑opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.