Franchise Registered Principal Delegate

COMPANY:  Ameriprise Financial

LOCATION:  Jacksonville, FL 32201

Click here to apply.

JOB TITLE: Ameriprise Financial job: Franchise Registered Principal Delegate

JOB DESCRIPTION:
Partner with Franchise Registered Principal to provide education and supervision to advisors within OSJ. Responsibilities* Prepare summary of advisor practice observations, trends, issues, and educational opportunities to the Franchise RP to be used as part of RP/Advisor Meetings.
* Create Agendas for RP/Advisor Meetings based on analysis of advisor practice and feedback from corporate partners.
* Ensure RP/Advisor Meetings are completed, appropriately documented, and that any follow up items identified are resolved.
* Analyze reports to identify if any trends, issues, or educational opportunities exist for advisors.
* Identify opportunities for client outreach and provide summary of details and information necessary for RP to conduct calls.
* Hold in-person meetings with select advisors to review relevant compliance considerations applicable to their practice.
* Review and track communications with the public that require OSJ supervision.
* Review OSJ task list to ensure required activities are occurring and are documented.
* Address ad-hoc compliance questions from financial advisors.
* Ensure advisor office location reviews are completed and appropriately stored.
* Manage and prioritize Franchise RP compliance To Do tasks.
* Schedule RP and Advisor meetings and maintain OSJ task calendar.
* Monitor registered principal’s email to help organize and address compliance tasks.
* Partner with corporate colleagues to organize and moderate educational conference calls for OSJ.
* Provide ongoing education to OSJ via biweekly group emails.
* Review and approve gift and entertainment disclosures provided by advisors.
* Communicate with advisors and field leaders regarding observations and results of supervisory activities.
* Serve as a subject matter expert for Compliance policies.Required Qualifications* At least 5 years financial services industry experience including substantive understanding of sales supervision and compliance for retail financial advisors.
* Demonstrated problem solving and analytical skills; ability to effectively analyze complex issues.
* Proficient with technology and quickly able to learn new tools & software.
* Strong written and verbal communication skills.
* Detail oriented.
* Ability to identify opportunities for process improvements and make recommendations on how improvements can be implemented.
* Ability to learn new skills and adapt to change.
* Ability to organize and track progress and completion of multiple concurrent tasks.
* Ability to use strong judgment when making sound, timely independent decisions on complex matters that don’t have clear answers.
* Ability to self-identify knowledge gaps related to the candidates’ own lack of understanding around topics and processes along with the ability to independently seek out needed information for adequate understanding.
* Must have the ability to consistently influence positive advisor behavior through coaching and education.
* Ability to record evidence of supervision in a fact-based-manner.
* Strong knowledge around the features of financial products and services offered by financial advisors.
* Ability to identify trends in data sets.
* Licenses Series 7 and 24 are required. Preferred Qualifications* A candidate who would like to operate as a financial advisor with Ameriprise, outside of the responsibilities and time needed for this role, would be considered. Income and expenses associated with acting as a financial advisor would be the sole responsibility of the candidate. For example, candidate may presently work in a hybrid role of serving retail clients and providing supervision to other financial advisors, and be looking for a change. Alternatively, the candidate may presently have, or would desire the ability, to maintain or build a small retail client base while fulfilling the expectations of this role.
* Remote candidate located within FL would be considered if candidate had exceptional qualifications including experience with Ameriprise compliance supervision. About Ameriprise 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. We are an equal opportunity employer.

We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. The EEO is the Law poster is available here. VEVRAA Federal Contractor We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.

Ameriprise Financial is an equal opportunity employer. We value a diverse workforce and an inclusive culture.

Ameriprise Financial encourages applications from all qualified individuals without regard to race, color, religion, gender, sexual orientation, gender identity or expression, age, national origin, marital status, citizenship, disability, and veteran status.

Ameriprise Financial Associate Branch Manager Position

COMPANY: Ameriprise Financial

LOCATION: Jacksonville, FL   32201

Click here to apply.

JOB TITLE: Associate Branch Manager – Jacksonville, FL

JOB DESCRIPTION:

Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through effective management of P&L, implementing sound strategy and growth through advisor acquisition, retention, tenure and productivity; driving revenue and asset growth; effectively prioritizing the opportunities of the site; optimizing resources within the office; effectively managing recruiting pipeline with quality EAR (Experienced Advisor Recruit) candidates.

Responsibilities:

Develop book of business and drive personal practice growth. Generate leads for personal practice using the conversation tool (i.e. EASE). Approach prospects, asking for referrals, approaching natural market, making community connections. Facilitate effective sales meetings, holding workplace/corporate seminars. Lead clients through Financial Planning processes and tools. Service the client: present solutions by analyzing client cases, reviewing service products, business transactions. Lead and coach assigned advisors in a small geography or within a large office to increase asset gathering and productivity. Identify teaming opportunities for assigned advisors and where appropriate facilitate partnerships. Assist in the development and training of advisors abilities on core skills of: driving high value client acquisition including referral, implementing a financial planning practice, driving sales implementation with clients.

Ensure assigned advisors have consistent systems/tools/support to effectively manage their business within the Ameriprise business model. Implement and manage PMP and PIP for advisors as necessary. In stand-alone branches, drive profitable growth and results for own branch through prudent expense management (P&L) and investments in key business strategies. Partner with their Branch Manager to drive growth and results for assigned advisors. Focus on strategies to drive advisor retention. Active in local community through building COIs, growing personal network, etc. When necessary provide operational support for the office / assigned advisors. Leverage corporate resources (RSDs, RSMs) to increase advisor competency at delivering the client experience through client acquisition, financial planning, ongoing relationship management and product implementation.

Ensure advisors adhere to the firms policies and procedures and conduct business in ethical manner. Build centers of influence through FPA, community involvement, industry seminars, etc. Work with leader to target recruits including but not limited to EAR, and advisor, practice acquisitions. Understand and clearly articulate Ameriprise value proposition to external candidates. Weekly to bi-weekly 1:1s with advisors in branch. Monthly reviews with branch support staff. Biweekly results review with Branch Manager or Complex Director (key metrics, high potential advisors, etc.).Required

Qualifications: Some college degree, MBA preferred. FINRA Series 7, 63 & 66. Series 9/10 & 24 highly encouraged but, not required 3+ Years experience. Obtain and maintain appropriate registrations to provide oversight on broker/dealer. operations and develop advisor training (typically Series 7 & 24). Maintain state securities registrations in resident state, place of business, and states where securities-based compensation is received (Srs 63 or 66). Maintain an insurance license in resident state, place of business, and states where insurance-based compensation is received. Maintain Investment Advisor Representative registration in investment advisor representative states with a place of business (Series 65 or 66). 3+ yrs of people mgmt and 4+ yrs of professional experience. Excellent compliance record and knowledge of compliance requirements.

About Ameriprise: Focused on people, not just our bottom line.

Here, you’ll be part of an inclusive, collaborative culture that rewards you for your contributions. You’ll work with other talented people who share your passion for doing great work that’s in the best interest of our clients. And you’ll 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 company that cares, put a rewarding career more within reach at Ameriprise Financial.

Ameriprise Financial is an equal opportunity employer. We value a diverse workforce and an inclusive culture.

Ameriprise Financial encourages applications from all qualified individuals without regard to race, color, religion, gender, sexual orientation, gender identity or expression, age, national origin, marital status, citizenship, disability, and veteran status.

 

Ernst & Young creating 450 jobs in Jacksonville

On March 3, Chamber and JAXUSA Partnership leaders joined Mayor Lenny Curry, City Council President Greg Anderson and officials from Ernst & Young for a significant jobs announcement.

Ernst & Young will open a delivery center here in Jacksonville, creating 450 jobs in our community. The company, the 4th largest accounting firm in the world, employs about 100 people in Jacksonville that serve local clients, but this expansion is a strategic piece of the company’s nationwide operation.

Daniel Davis, JAX Chamber president said, “These are highly skilled information technology and financial services jobs – the types of jobs we have positioned our community to be able to attract. We’ve seen success in these sectors in recent years – with more expected in the next few months – and these companies know if they come to Jacksonville, we have the workforce they need to be successful.”

Find Ernst & Young’s career page here.