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Ameriprise Financial Region Registered Principal in United States


Job Description:

Provide front line supervision for two to three regions of the personal practices of Complex Directors and Branch Managers. Act as interim Registered Principal (RP) in offices/Office of Supervisory Jurisdictions (OSJs) where no individual is currently in the role.



Job ID:


Full-Time / Part-Time:

Full time

About Our Company:

With the right company, life can Be Brilliant®. At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial and we can Be Brilliant® together.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Line of Business:

Ameriprise Advisor Group

Posting Title:

Region Registered Principal


• Conduct front line supervision for two to three regions on the personal practices of Complex Directors and Branch Managers. Conduct on-site supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place.

• Document findings in appropriate tools, such as RP Doc Tool and Supervisory Scorecard, and address issues with producing leaders and advisors of supervisory activities. Communicate with next level leaders and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.

• Act as interim RP when an office is without a leader due to transition or leave of absence. Conduct the supervision of all advisor practices in the office while the leader is replaced (scope could be very large). Ensure the appropriate supervision continues while the office is in transition.

• Provide support and guidance to field leaders regarding supervisory policies and processes. Provide feedback and input on practices for Complex Directors and Branch Managers.

Recruiting Location:


Required Qualifications:

• Bachelors degree or equivalent (4-years)

• 5-7 years Relevant Experience Required

• Series 7, Series 24 & Series 65/66 or ability to obtain within 150 days

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

• Strong knowledge of B/D 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.

• Direct supervisory experience.

Job Family Group:

Legal Affairs