Franchise Registered Principal Delegate

COMPANY:  Ameriprise Financial

LOCATION:  Jacksonville, FL 32201

Click here to apply.

JOB TITLE: Ameriprise Financial job: Franchise Registered Principal Delegate

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.


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