P2 Field Compliance Supervisor

Description:This position is responsible for day to day compliance supervisory tasks for financial advisors, including but is not limited to the review of advertising & correspondence, the annual sales practice review, branch office inspections, branch office registration, client interviews, complaint & internal review handling, compliance training, mail handling, monitoring continuing education requirements, review of advice, outside activity disclosure review, review of exception reporting, OSJ record keeping supervision of administrative staff compliance activities, assess, monitor OSJ compliance results to ensure compliance with all regulatory requirements and company compliance policies and procedures and provide support for other compliance-related issues as assigned. This position is located in: Saint Louis, MO.Qualifications:FINRA Series 7 & 24 registrations and appropriate insurance & securities licenses, strong knowledge of financial services industry/Ameriprise products & services and the financial planning process, knowledge of Broker/Dealer regulatory issues, knowledge of financial services industry/Ameriprise compliance policies and procedures, aptitude for analysis, investigation & problem solving, demonstrated ability to cope with change, ability to manage multiple priorities, strong oral/written communication skills, demonstrated organization skills, demonstrated conflict management skills, demonstrated leadership skills and the ability to influence behavior, willingness to travel (depending on advisors being supervised), self motivated with the ability to achieve results in an independent environment, aptitude & comfort with technology, training & delivery skills. (May require S9/10, S51 or S53 to supervise 529 plans. To supervise options, requires S4 or S9/10.)Salary/Benefits: Salary commensurate with experienceWe offer competitive benefits to eligible employees (including medical, dental, and vision plans). We also offer tuition reimbursement, dependent care assistance, domestic partner benefits, 401K and company paid retirement, generous paid time off, legal assistance, and financial planning and more! Ameriprise Financial is an equal opportunity employer.Job Location: Saint Louis, MOJob Number: 76056Company URL: http://ameriprise.com/amp/global/careers/careers.aspCompany Profile:About Ameriprise FinancialWe are Ameriprise Financial, a FORTUNE 500 company,* a leader in our industry with more than 10,000 branded financial advisors and more than 8,900 employees nationwide. We have nearly 2.8 million individual, business and institutional clients* and $474 billion in assets owned, managed and administered.** Our momentum comes from the personal, long-term relationships we cultivate with our clients and employees. This commitment is the basis of our unique, collaborative approach to financial planning, and the reason why we made the Top 20 on BusinessWeek's 2006 list of Best Places to Launch a Career.*** With us, you can count on a competitive compensation and benefits package, continuing opportunities for advancement and the training you'll need to bring out your full potential. It's time to help people plan for their dreams. It's time to matter more.Climb Your Everest*Source: FORTUNE Magazine, April 30, 2007**As of March 31, 2007. Source: Ameriprise Financial First Quarter 2007 Statistical Supplement, page 3***Source: BusinessWeek, 9/18/06Ameriprise Financial Services, Inc., Member FINRA and SIPC, is an Ameriprise Financial, Inc. company. Ameriprise Financial Services, Inc. is an Equal Opportunity Employer. 2007 Ameriprise Financial, Inc. All rights reserved. (10/07) Learn More | View All Jobs |