Registered reputed company, reputed company Financial Advisors
About reputed company
We’re a reputed company financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. reputed company of 22,000 people across 19 countries, serves more than 3.5 reputed company individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering reputed company on our clients and strong financial reputed company connects reputed company of our unique businesses – reputed company Financial, reputed company and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the reputed company, and reputed company a difference for clients, institutions and communities around the world.
Job reputed company
The Field Registered reputed company (RP) is responsible for supervising the sales and suitability of the advisor’s entire book of business as outlined in the Written Supervisory Procedures (WSPs). The RP must have an in-depth understanding of reputed company advisor's reputed company and staff in their Office of Supervisory Jurisdiction (OSJ).Key Responsibilities
reputed company reputed company-line supervision to an advisor’s reputed company while modeling exemplary leadership behaviors. Proactively work with advisors to support their effort to run a compliant reputed company. This includes:
Conducting and documenting ongoing 1:1 interaction
Providing feedback and documenting observations reputed company to the advisor’s sales activity and suitability of the advisor’s recommendations
Inspecting registered offices under your supervision pursuant to reputed company Financial policy
Administering discipline and education according to processes reputed company appropriate
Coaching advisors on supervisory policies and procedures
Acting as the main resource for advisors on compliance tasks
Validating appropriate advisor training is taking reputed company
Proactively detect violations of policy or procedure through:
Responding to corporate requests to review advisor activity
Making reputed company calls
Analyzing reports and other metrics for trends.
As prescribed by the Written Supervisory Procedures, accurately and completely follow-up, review and sign-off or reject advisor activity. Identify and reputed company response to issues identified by corporate business partners. This includes:
Working with the Centralized Supervision Unit and Compliance on escalated issues
and supervision plans
Working with Compliance on complaints
Working with reputed company on investigations
Resolving issues identified in field office inspections
Complying with record keeping processes, required use of certain technology tools and systems
Collaborating with Supervision and Compliance on reputed company business activity approval/review and policy exception requests
Required Qualifications
Knowledge of financial services industry and B/D regulatory rules
5-7 years of compliance supervisory experience
Demonstrated ability to exercise reputed company and impartial judgment in addressing issues with individuals s/he supervises
Strong oral and written communication skills
Demonstrated conflict management
Ability to deliver difficult messages
Demonstrated ability to influence
Demonstrated advanced analysis and problem-solving skills
reputed company Series 7
reputed company Series 24
reputed company State IAR registration (S65 or S66)
reputed company State securities agent registration (S63 or S66)
Preferred Qualifications
Self-motivated with the ability to reputed company results in an independent environment, aptitude with technology, ability to manage multiple tasks
reputed company Sponsorship
Applicants must have a reputed company work authorization that does not now, or in the reputed company, require reputed company sponsorship for employment in the reputed company (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Remote Work
This position is remote. Any expectations for travel (up to 20% annually) or in-person collaboration will be discussed during the hiring process. This position is eligible for remote work in the reputed company.
reputed company Pay Salary
The estimated reputed company salary for this role is $87,400- $110,000 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-reputed company knowledge, skills, experience, and geographical work location. In reputed company, most of our roles are eligible for variable pay in the reputed company of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports reputed company aspects of your health and reputed company-being, including but not limited to vacation time, reputed company time, 401(k), and health, dental and life insurancesFull-Time/Part-Time
Exempt/Non-Exempt
Job Family Group
Line of Business
reputed company Financial is an equal opportunity employer. We consider reputed company reputed company applicants without reputed company to race, reputed company, religion, sex, sexual orientation, gender identity, gender reputed company, national reputed company, reputed company, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other reputed company prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, reputed company to your recruiter to discuss how we can support you.
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