Senior Registered Principal

Ameriprise Financial Services, LLC

. Provide and document front-line supervision and compliance oversight for advisor practices .

Posted 11/10/2026full-timeRemote • 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 coaching abilities while ensuring compliance with broker-dealer regulations and firm policies. Possesses advanced analytical skills to assess risks and enhance supervisory practices within the financial services industry.

Highest-signal resume keywords

Financial Services Industry KnowledgeBroker-Dealer Regulations ExpertiseLeadership and Coaching SkillsAnalytical and Problem-Solving SkillsCompliance Oversight Experience

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance OversightSales and Suitability ReviewsPractice AssessmentsRisk AnalysisPolicy Violation IdentificationTraining DevelopmentRecordkeeping RequirementsCorrective Action AdministrationDecision-MakingConflict Management

Soft Skills

Exceptional Communication SkillsRelationship ManagementAbility to Manage Competing PrioritiesInfluencing SkillsDriving Accountability

Tools & Technologies

Supervisory Reports AnalysisTechnology Utilization for Oversight

Certifications & Qualifications

Bachelor's DegreeSeries 7Series 24Series 63/66Series 65/66

Industry Keywords

Compliance RequirementsOffice of Supervisory JurisdictionFINRA RegistrationsRegulatory ResponsibilitiesAdvisor Practices

About the role

Key responsibilities & impact

Provide and document front-line supervision and compliance oversight for advisor practices
Coach advisors and maintain ongoing engagement
Conduct annual practice assessments and office inspections
Perform sales and suitability reviews
Verify completion of compliance requirements
Administer corrective action, education, and disciplinary processes
Identify potential policy and procedural violations through targeted reviews of advisor activity and client outreach
Analyze supervisory reports and risk indicators
Partner with corporate business partners to identify, investigate, and resolve compliance and supervisory issues
Escalate and remediate issues appropriately
Ensure adherence to firm policies and recordkeeping requirements
Oversee regulatory and supervisory responsibilities for advisors within the assigned Office of Supervisory Jurisdiction

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
Proven 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 with the 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 to support performance and regulatory compliance
Strong technical aptitude and ability to leverage technology to enhance supervision and oversight
Maintains all required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable
Valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States

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 arrangement
Reasonable accommodation support during recruitment and interviews