This sales supervision position will be focused on reviewing and signing off as Registered Principal for one or more of the following Marketing and Communications Supervision functions: Advisor Created Material Review (advisor created material, recruitment material); Advisor Websites; Correspondence and Email. Additional responsibilities may include reviewing other types of advisor generated communications.
Review and approve advisor created client and prospect written communication. These items will be reviewed from a brand and regulatory compliance perspective to ensure they are truthful, accurate, balanced and not misleading.
Consult with advisors on aligning their materials with compliance, brand and company policies and regulatory standards.
Interact with Compliance Communication Review Group, Compliance, Brand, Legal and other business partners outside of the Risk Mitigation department as necessary prior to RP approval.
Occasionally this position will also be required to serve as a CSU Marketing and Communications subject matter expert in department meetings with business partners as well as field representatives. The candidate will be expected to effectively handle escalated and sensitive issues. Contact with advisors, field leaders and potential client interaction will also be required.
Experience with reviewing advisor/client written and electronic communications.
Proofreading and editing experience.
Strong knowledge of Ameriprise brand standards and regulatory rules and regulations.
Ability to identify communications or activity that does not meet standards, policies or regulatory rules.
Must be detail-oriented and a problem-solver with strong organizational skills and demonstrated success in facilitating multiple tasks or projects and driving them to completion.
Must exercise good judgment, be able to think through "gray areas" and make decisions with less than perfect information or guidance.
Ability to effectively drive compliant advisor behavior.
Able to manage conflict, with skills in navigating issues with various business partners and the field.
Experience with cross function communication; have an established network of contacts with various Ameriprise departments.
Proficient with Microsoft Word, Excel, PowerPoint and Outlook.
5+ years of relevant experience.
College degree or equivalent
Series 7, 63 or 66, and 24 required, or ability to obtain within 90 days.
About Our Company
With the right company, life can be brilliant. At Ameriprise, we're not just in the business of managing our clients' finances we also help our advisors and employees reach their true potential, too. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You'll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.