Mgr-Central Supervision Unit
Core
Conduct holistic reviews of advisors' practices and targeted account suitability reviews to ensure accounts are suitable and in clients' best interests.
Role type
Senior IC Sales Supervision Manager (Advisory Services)
Builds
Investment advisory services (Ameriprise Financial Planning Service, SPS Advantage, SPS Advisor accounts)
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Risk-based judgement, Analytical skills, Regulatory compliance knowledge, Fiduciary standards assessment, Coaching and education, Process improvement, Regulatory examination response, Team health management
Preferred skills
Technical product knowledge (managed accounts/financial planning), Complex decision making, Fact-based documentation, Workload prioritization
Technologies
N/A
Responsibilities
Direct supervision of advisory services to determine suitability of service and recommendations; Complete supervisory analysis using risk-based judgement; Communicate results to advisors and field leaders; Support team innovation and process efficiency; Monitor regulatory changes and represent firm in examinations/investigations; Maintain team health and establish development goals