Ameriprise Financial Services, LLC · 12 hours ago
Sales Supervision Mgr
Las Vegas, Nevada
Full-time
Hybrid
Mid, Senior Level
$87K/yr - $120K/yr
3+ years expAmeriprise Financial Services, LLC is a diversified financial services leader with a significant focus on investment advisory services. The Sales Supervision Manager - Advice is responsible for overseeing advisor practices, ensuring compliance with fiduciary standards, and collaborating with various stakeholders to mitigate risks.
CommercialConstructionProperty ManagementReal EstateResidential
Responsibilities
Provide direct supervision of investment advisory services to determine suitability of service and recommendations, adherence to ADVs, and assessment of fees
Evaluate and select targeted client advisory relationships for review by analyzing an advisor's practice to identify conditions that present the most risk to clients or the firm
Communicate with advisors, field registered principals, and field leaders regarding results of supervisory activity. This involves working closely with advisors to develop an understanding of recommendations 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
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 proceedings
Demonstrated problem solving and analytical skills; ability to effectively analyze most complex issues. Ability to use strong judgment when making sound, timely independent decisions on complex matters that do not have clear answers
Strong written and verbal communication skills. Must be able to effectively deliver unfavorable communications involving account suitability, difficult advisor and client conversations, and/discipline discussions with field Registered Principals and other leaders
Qualification
Required
A bachelor's degree and 3 years relevant work experience or 5 years relevant work experience
Relevant experience includes positions in financial services or other areas where you have built the skills needed to be successful in this role
Demonstrated problem solving and analytical skills; ability to effectively analyze most complex issues
Ability to use strong judgment when making sound, timely independent decisions on complex matters that do not have clear answers
Strong written and verbal communication skills
Must be able to effectively deliver unfavorable communications involving account suitability, difficult advisor and client conversations, and/discipline discussions with field Registered Principals and other leaders
Active Series 7, 24 and 63/65 or 66 - or the ability to obtain as follows: These licenses, if not actively held, must be obtained within 120 days of start date
Technical product knowledge related to investment products, advisory accounts, and/or financial planning
Proficiency in Microsoft 365 applications, with an emphasis on Excel and/or Power Apps
Preferred
Advanced industry designation(s) or professional credentials such as MBA, JD, CFP, ChFC, or CLU
Benefits
Vacation time
Sick time
401(k)
Health, dental and life insurances
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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