Ameriprise Financial Services, LLC · 2 days ago
Mgr-Central Supervision Unit
Charlotte, North Carolina
Full-time
Onsite
Entry, Mid Level
$88K/yr - $120K/yr
2+ years expAmeriprise Financial Services, LLC is a diversified financial services leader with a strong focus on client service. The Sales Supervision Manager – Trade and New Accounts is responsible for conducting risk-based supervision of various investment products and providing coaching to advisors on trading and investment strategy policies.
CommercialConstructionProperty ManagementReal EstateResidential
Responsibilities
Review of supervisory alerts for transactions in equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level
Supervision of new accounts and strategy changes in Brokerage and non-discretionary Managed Accounts
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
Qualification
Required
A Bachelor's degree (in any field) and 2 years relevant work experience, or no degree with 3 years relevant work experience. 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) and ability to obtain Series 7 within 120 days, Series 24 within 90 additional days, and Series 9/10 or a combination of both Series 4 and 52/53 within 90 additional days, each
Preferred
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
Benefits
Vacation time
Sick time
401(k)
Health, dental and life insurance
Company
Ameriprise Financial Services, LLC
At Ameriprise Financial, we have been helping people feel more confident about their financial future for 130 years.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Angela Grabovsky, CFP®, CRPC®, MBA, APMA®
Private Wealth Advisor, Chief Executive Officer
Anthony C. Barone
Chief Executive Officer,Financial Advisor- The Barone Financial Consulting Group
Recent News
2025-10-03
2025-10-02
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