Support frontline OSJ financial advisor/staff supervision in coordination with the lead OSJ Field Registered Principal.
The above noted advisor Practice Reviews and Site Location examinations are for advisors/staff located in Pennsylvania, New Jersey and New York. This would include the ability to work remotely - both at home and/or registered office locations.
Compensation competitive and commensurate with experience.
If you are not located close to a physical office, remote work is considered for qualified candidates.
working closely with sales leaders and other corporate partners (compliance/risk mitigation) in support of advisor/registered representative practice growth and accompanying supervision
proactively working with advisors to provide coaching and ongoing feedback to ensure they are running a compliant practice
proactively detecting violations of compliance policies and business procedures for advisors/staff through spot-checks - Practice and Site reviews,
review of client account and transaction activity review,
ongoing analyzation of reports and other metrics for the OSJ.
Series 7 and Series 24 (preferred).
About Our Company
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
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.