AFIG Registered Principal

About Our Company

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million 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 focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Job Description

In this role, you will act as Registered Principal for one or more Field Vice President(s) in the Ameriprise Financial Institution Group (AFIG) channel. This includes providing frontline supervision of financial advisors in the span of control for OSJs assigned.

Key Responsibilities:

• Conduct frontline supervision for OSJs assigned. Conduct supervisory reviews of financial advisors a minimum of once a year and spot checks, as required. Conduct in-depth reviews to verify all regulatory policies and processes are in place.

• Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Field Vice Presidents, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.

• Act as primary point of contact for advisors and staff on compliance and supervision related items.

• Engage with Financial Institution (FI) partners (e.g., program managers) to communicate issues and trends from a supervisory perspective.

Required Qualifications:

• 3 - 5 years' relevant experience required

• Bachelor’s degree or equivalent (4-years)

• Active FINRA Series 7

• Active FINRA Series 24

• Active State Securities Agent Registration (S63 or S66) or ability to obtain within 150 days

• Ability to travel 25% to 40% of the time

Preferred Qualifications:

• Strong knowledge of financial services industry, Ameriprise products and services, and the financial planning process.

• Strong knowledge of broker-dealer regulatory issues, knowledge of financial services industry, and Ameriprise compliance policies and procedures.

• Demonstrated ability to exercise sound and impartial judgment in addressing issues with individuals being supervised.

• Strong oral and written communication skills, demonstrated conflict management, and ability to lead.

• Self-motivated with the ability to achieve results in an independent environment.

• Aptitude with technology and ability to manage multiple tasks.

• Training and delivery experience.

• Demonstrated advanced analysis and problem-solving skills.

• Demonstrated ability to use technology and tools (e.g. Teams, MS Office) to gain efficiencies and speed.

• Direct supervisory experience

• Experience with Nondeposit Investment Products (NDIP) business

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Remote Work

This position is remote. Any expectations for travel or in-person collaboration will be discussed during the hiring process. This position is eligible for remote work in any location.

Base Pay Salary

The estimated base salary for this role is $87,400 - $120,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Closing Date: 05/13/2026

Full time

Exempt

Legal Affairs

AFIG Ameriprise Financial Institutions Group

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis 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, speak to your recruiter to discuss how we can support you.