Sales Manager – Specialized Trends and Reports

Ameriprise Financial Services, LLC

. Review business trends across advisor practices .

Posted 10/5/2026full-timeUnited StatesMid-LevelSenior💰 $87,400 - $120,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong analytical and problem-solving skills while effectively supervising business activities and ensuring compliance with SEC regulations. Capable of delivering training and communicating complex issues to advisors and clients, while maintaining a focus on fiduciary standards and best practices.

Highest-signal resume keywords

Active Series 7Strong Knowledge Of SEC RegulationsDemonstrated Problem Solving SkillsStrong Written And Verbal Communication SkillsAbility To Influence Positive Advisor Behavior

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Sales Practice ReviewsSupervision ProcessesAnalytical SkillsDecision MakingRegulatory ComplianceEvidence RecordingStrategic ThinkingTechnology UtilizationClient Suitability AnalysisTraining And Education Delivery

Soft Skills

Communication SkillsCoaching AbilityTeam CollaborationAdaptabilityPrioritization

Tools & Technologies

Supervisory SystemsComputer ProgramsFact-Based Reporting Tools

Certifications & Qualifications

Active Series 24Active Series 63/65 Or 66

Industry Keywords

Fiduciary StandardsBest-Interest StandardsRegulatory MattersAdvisor PracticesCompliance Partners

About the role

Key responsibilities & impact

Review business trends across advisor practices
Supervise business activities including heightened supervision plans, non-conventional business practices, and journaling of cash and securities between managed accounts and retail brokerage accounts
Conduct sales practice reviews for general securities, options, annuities, insurance, and managed accounts
Supervise specialized reports and referrals identifying potential policy violations and unique trading patterns
Communicate supervisory results to advisors and field leaders
Work with advisors to understand client recommendations and validate fiduciary and best-interest standards
Deliver one-on-one training and education to advisors
Communicate with clients to resolve suitability issues
Prioritize fluctuating workloads and competing projects
Coordinate supervision of new or one-off requests with business partners
Serve as subject matter authority for CSU, Legal, and Compliance partners
Improve and streamline supervision processes
Monitor regulatory-environment and competitive-landscape changes
Represent the firm in examinations, investigations, and regulatory matters, including regulator engagements or arbitration testimony
Support team health through individual development goals and team activities

Requirements

What you’ll need

Bachelor's degree or equivalent, and 5 years minimum relevant work experience
Demonstrated problem solving and analytical skills
Ability to analyze complex issues and make sound, timely independent decisions
Strong written and verbal communication skills
Ability to deliver unfavorable communications involving account suitability, difficult advisor and client conversations, and discipline discussions
Ability to influence positive advisor behavior through coaching and education
Ability to record evidence of supervision in a fact-based manner
Strong knowledge of SEC and other regulatory bodies' rules relevant to applicable product lines
Demonstrated strategic thinking
Strong proficiency with computer programs, applicable supervisory systems and tools
Ability to use technology to improve efficiency
Ability to work effectively and efficiently individually and in a team environment
Active Series 7 required
Active Series 24 and 63/65 or 66, or ability to obtain them
If not actively held, required exam licenses must be passed within 120 days of start date, with an additional 90-day window after each successfully passed exam when multiple exams are required
Valid work authorization that does not now or in the future require visa sponsorship for employment in the United States

Benefits

Comp & perks

Vacation time
Sick time
401(k)
Health insurance
Dental insurance
Life insurance
Flexible work arrangement: work from home one (1) day per week
Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role
Reasonable accommodation support during the recruitment process