Senior Region Registered Principal

Ameriprise Financial Services, LLC

. Supervise the sales activities and suitability of each advisor’s entire book of business according to Written Supervisory Procedures .

Posted 11/9/2026full-timeRemote • Minnesota • United StatesSenior💰 $115,000 - $158,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates strong leadership and supervisory skills in the financial services industry, with a focus on compliance oversight, risk management, and advisor development. Proficient in conducting assessments, delivering training, and leveraging technology for effective supervision.

Highest-signal resume keywords

Financial Services Industry KnowledgeBroker-Dealer Regulations ExpertiseFINRA Series 7, 24, 63/66, 65/66 RegistrationsAnalytical And Problem-Solving SkillsLeadership And Coaching Abilities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance OversightRisk ManagementPractice AssessmentsSales ReviewsTraining DevelopmentPerformance ManagementPolicy Violation IdentificationSupervisory ReportingDecision-MakingTechnology Utilization

Soft Skills

Exceptional CommunicationRelationship ManagementConflict ManagementAccountabilityInfluencing Skills

Certifications & Qualifications

FINRA Series 7FINRA Series 24FINRA Series 63/66FINRA Series 65/66

Industry Keywords

Written Supervisory ProceduresOffice of Supervisory JurisdictionCompliance RequirementsClient OutreachCorrective ActionDisciplinary ProcessesSales SuitabilitySupervisory IssuesFast-Paced EnvironmentU.S. Work Authorization

About the role

Key responsibilities & impact

Supervise the sales activities and suitability of each advisor’s entire book of business according to Written Supervisory Procedures
Understand advisors’ practices, operations, and support staff within the assigned Office of Supervisory Jurisdiction
Provide and document front-line supervision and compliance oversight
Coach advisors and maintain ongoing engagement
Conduct annual practice assessments, office inspections, sales and suitability reviews, and verification of compliance requirement completion
Administer corrective action, education, and disciplinary processes
Identify potential policy and procedural violations through targeted reviews, client outreach, supervisory reports, and risk indicators
Partner with corporate business partners to investigate and resolve compliance and supervisory issues
Escalate issues appropriately, implement remediation, and maintain required records

Requirements

What you’ll need

Bachelor's degree or equivalent
7–10 years of relevant experience
Strong knowledge of the financial services industry, broker-dealer regulations, and supervisory requirements
Ability to exercise sound judgment and make balanced, risk-based decisions in complex situations
Exceptional communication and relationship management skills
Demonstrated success managing conflict, delivering difficult messages, and driving accountability
Strong leadership presence and ability to coach, develop, and influence advisors and business partners
Ability to manage competing priorities in a fast-paced environment
Advanced analytical and problem-solving skills
Experience developing and delivering training for performance and regulatory compliance
Strong technical aptitude and ability to leverage technology for supervision and oversight
Required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable
Valid U.S. work authorization that does not now or in the future require visa sponsorship

Benefits

Comp & perks

Variable pay in the form of bonus, commissions, and/or long-term incentives, depending on the role
Vacation time
Sick time
401(k)
Health insurance
Dental insurance
Life insurance
Remote work