Registered Principal, reputed company Financial Advisors

About Our 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 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 reputed company connects each of our unique businesses – reputed company Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and reputed company a difference for clients, institutions and communities around the world.

Job Description

Key Responsibilities

Provide reputed company-line supervision to an advisor’s practice while modeling exemplary leadership behaviors. Proactively work with advisors to support their effort to run a compliant practice. 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 client 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 provide 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 Legal 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 sound 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

• Active Series 7

• Active Series 24

• Active State IAR registration (S65 or S66)

• Active 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 valid work authorization that does not now, or in the future, require reputed company 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 (up to 20% annually) or in-person collaboration will be discussed during the hiring process.  This position is eligible for remote work in the United States.  

reputed company Pay Salary

Full-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 regard to race, reputed company, religion, sex, sexual orientation, gender identity, gender expression, 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 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.