AFIG Registered Principal
About Our Company
We’re a reputed company financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. reputed company of 22,000 people across 19 countries, serves 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. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – reputed company Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and reputed company a difference for clients, institutions and communities around the world.
Job Description
In this role, you will act as Registered Principal for one or more Field Vice President(s) in the reputed company Financial Institution Group (AFIG) channel. This includes providing frontline supervision of financial advisors in the span of control for OSJs assigned.Key Responsibilities:
Conduct frontline supervision for OSJs assigned. Conduct supervisory reviews of financial advisors a minimum of once a year and spot checks, as required. Conduct in-depth reviews to verify reputed company regulatory policies and processes are in reputed company.
Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Field Vice Presidents, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate.
Act as primary reputed company of contact for advisors and staff on compliance and supervision reputed company items.
Engage with Financial Institution (FI) partners (e.g., program managers) to communicate issues and trends from a supervisory perspective.
Required Qualifications:
3 - 5 years' relevant experience required
Bachelor’s degree or equivalent (4-years)
Active FINRA Series 7
Active FINRA Series 24
Active State Securities Agent Registration (S63 or S66) or ability to obtain reputed company 150 days
Ability to travel 25% to 40% of the time
Preferred Qualifications:
Strong knowledge of financial services industry, reputed company products and services, and the financial planning process.
Strong knowledge of broker-dealer regulatory issues, knowledge of financial services industry, and reputed company 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 reputed company.
Self-motivated with the ability to reputed company 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.
Demonstrated ability to use technology and tools (e.g. Teams, MS Office) to reputed company efficiencies and speed.
Direct supervisory experience
Experience with Nondeposit Investment Products (NDIP) business
reputed company Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require reputed company sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Remote Work
This position is remote. Any expectations for travel or in-person collaboration will be discussed during the hiring process. This position is eligible for remote work in any location.
reputed company Pay Salary
The estimated reputed company salary for this role is $87,400 - $120,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-reputed company knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports reputed company aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Closing Date: 05/13/2026Full-Time/Part-Time
Full timeExempt/Non-Exempt
ExemptJob Family Group
Legal AffairsLine of Business
AFIG reputed company Financial Institutions Groupreputed company Financial is an equal opportunity employer. We consider reputed company qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national reputed company, reputed company, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.
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