Ameriprise Financial Careers: Field Registered Principal Job Guide
Ameriprise Financial roles such as Field Registered Principal may fit experienced financial services professionals with supervision, compliance, broker-dealer, advisor practice, and securities licensing experience.
This guide is for job seekers who want to apply for registered principal, compliance supervision, advisor supervision, or financial services leadership roles.
Apply Through Ameriprise Careers
Before applying, confirm the latest job status, location rules, license requirements, pay range, and application instructions on the official Ameriprise careers page.
Role Snapshot
What This Role May Involve
- Providing front-line supervision to advisor practices.
- Supervising registered representatives and helping ensure compliance with regulations.
- Reviewing advisor activity, identifying risks, and communicating findings to leadership.
- Managing an Office of Supervisory Jurisdiction or related supervision function.
- Supporting advisor training, compliance documentation, and escalation processes.
Qualifications That Can Help You Stand Out
- Series 7, Series 24, Series 65/66, or similar securities licenses.
- Experience in broker-dealer supervision, financial services compliance, or advisor practice oversight.
- Strong knowledge of regulatory requirements and risk management.
- Clear communication skills for working with advisors, leadership, and compliance teams.
- Direct supervisory experience in a financial services environment.
Resume Tips Before Applying
- List your active securities licenses clearly near the top of your resume.
- Use keywords such as registered principal, Series 24, broker-dealer compliance, advisor supervision, and OSJ.
- Show examples of supervision, audits, risk review, policy enforcement, or advisor support.
- Include measurable impact where possible, such as teams supported, branches supervised, or compliance processes improved.
Strengthen Your Resume First
Financial supervision roles are license-sensitive and detail-heavy. Make sure your resume clearly shows licenses, compliance experience, supervision scope, and leadership results.
Similar Job Titles to Search
- Registered Principal
- Field Registered Principal
- Compliance Principal
- Financial Advisor Supervisor
- Broker-Dealer Compliance Manager
- OSJ Manager
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This article is written for job seekers. Always verify current role details, licensing requirements, location rules, salary, benefits, and application deadlines directly through Ameriprise Financial’s official careers page before applying.