Registered Operations Leader

Responsibilities

• Manage operational processes to support business objectives, revenue growth, and client experience
• Lead, coach, and mentor branch staff, including Registered and non-registered Client Service Associates
• Assist advisors with client servicing, including financial plan preparation, investment research, and trade execution
• Manage branch vitals, including P&L, budgeting, expense reports, and reporting accuracy
• Partner with the Branch Manager to ensure advisor business plans and marketing events are executed
• Oversee administrative duties, new business paperwork processes, and facility initiatives
• Collaborate with the Registered Principal to ensure compliance support and training needs are met

Requirements

• Bachelor's degree or equivalent
• 5-7 years of relevant professional experience
• Series 7 license or the ability to obtain it within 150 days
• State securities agent registration (S63 or S66) or the ability to obtain it within 150 days
• Previous successful supervisory experience, including knowledge of HR policies and labor laws
• Proficiency in standard business software applications
• Strong organizational, time management, and analytical skills
• Excellent written and verbal communication skills

About the Company

Ameriprise Financial is a diversified financial services leader with more than $1.5 trillion in assets under management, administration, and advisement. With a team of 22,000 people across 19 countries, we serve 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.