20 regional registered principal jobs found

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Act as full Registered Principal delegate for one or more Regional Director(s) in the Ameriprise Financial Institution Group (AFIG) channel. Provide front line supervision to the advisors in the span of control for the Regional Director(s) assigned. Key Responsibilities : Conduct front line supervision for the OSJs of the Regional Director(s) assigned. Conduct supervisory reviews minimum of once a year and spot checks of practices, as required. Conduct an in-depth review of each practice to verify all regulatory policies and processes are in place. Document findings in appropriate tools, such as RP Doc Tool, and address issues with advisors of supervisory activities. Communicate with Regional Directors, Senior Regional Risk Manager, and Centralized Supervision Unit (CSU) RPs regarding trends, red flag behavior, and consequence management, as appropriate. Act as primary point of contact for advisors and staff on compliance and supervision related...

Ameriprise Financial Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs). Job Description: Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance. Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to...

Ameriprise Financial Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs). Job Description: Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance. Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to...

Ameriprise Financial Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs). Job Description: Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance. Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to...

Ameriprise Financial Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs). Job Description: Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance. Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to...

Ameriprise Financial Provide ongoing, risk-based leadership and oversight to mitigate risk in the Ameriprise Financial Institutions Group (AFIG). Educate, advise, and collaborate with AFIG leadership, corporate office partners, and financial institution partners on compliance issues and actions to mitigate risk. Provide direct leadership to the Regional Registered Principals (RRPs). Job Description: Lead the Ameriprise Financial Institutions Group (AFIG) RRP team and evaluate their performance. Provide oversight through regular, effective, ongoing interactions with AFIG Registered Principals, Region Registered Principals (RRPs), AFIG leaders and financial institution leadership to track progress, provide feedback, identify new issues, and positively influence the direction of supervision. Confirm and document that Regulatory issues are identified, and appropriate action is taken. Work closely with Risk Mitigation and Compliance staff, utilize ongoing diagnostics to...

Ameriprise Financial Do you have leadership experience and want to advance your career with an industry-leading firm? If so, we want you to join our team as a Registered Operations Leader! Ameriprise Financial is America's leader in financial planning and ranked #1 in customer loyalty. As a Registered Operations Leader, you will be responsible for all operational processes that support business objectives and assist advisors in serving their clients. Leverage your strong leadership skills by managing branch staff (including Registered Client Service Associates and non-registered Client Service Associates), working directly with employee advisors, and partnering with additional branch leaders. Looking to advance your career further through licensing? We are dedicated to your career development through training, mentoring and licensing support - it's all about helping you optimally develop to reach your full potential! At Ameriprise Financial, we take pride in providing our...

Ameriprise Financial Do you have leadership experience and want to advance your career with an industry-leading firm? If so, we want you to join our team as a Registered Operations Leader! Ameriprise Financial is America's leader in financial planning and ranked #1 in customer loyalty. As a Registered Operations Leader, you will be responsible for all operational processes that support business objectives and assist advisors in serving their clients. Leverage your strong leadership skills by managing branch staff (including Registered Client Service Associates and non-registered Client Service Associates), working directly with employee advisors, and partnering with additional branch leaders. Looking to advance your career further through licensing? We are dedicated to your career development through training, mentoring and licensing support - it's all about helping you optimally develop to reach your full potential! At Ameriprise Financial, we take pride in providing our...

Ameriprise Financial Do you have leadership experience and want to advance your career with an industry-leading firm? If so, we want you to join our team as a Registered Operations Leader! Ameriprise Financial is America's leader in financial planning and ranked #1 in customer loyalty. As a Registered Operations Leader, you will be responsible for all operational processes that support business objectives and assist advisors in serving their clients. Leverage your strong leadership skills by managing branch staff (including Registered Client Service Associates and non-registered Client Service Associates), working directly with employee advisors, and partnering with additional branch leaders. Looking to advance your career further through licensing? We are dedicated to your career development through training, mentoring and licensing support - it's all about helping you optimally develop to reach your full potential! At Ameriprise Financial, we take pride in providing our...

Ameriprise Financial Do you have leadership experience and want to advance your career with an industry-leading firm? If so, we want you to join our team as a Registered Operations Leader! Ameriprise Financial is America's leader in financial planning and ranked #1 in customer loyalty. As a Registered Operations Leader, you will be responsible for all operational processes that support business objectives and assist advisors in serving their clients. Leverage your strong leadership skills by managing branch staff (including Registered Client Service Associates and non-registered Client Service Associates), working directly with employee advisors, and partnering with additional branch leaders. Looking to advance your career further through licensing? We are dedicated to your career development through training, mentoring and licensing support - it's all about helping you optimally develop to reach your full potential! At Ameriprise Financial, we take pride in providing our...

The Nature Conservancy OFFICE LOCATION Salt Lake City, Utah, USA WHO WE ARE The mission of The Nature Conservancy (TNC) is to conserve the lands and waters upon which all life depends. As a science-based organization, we develop innovative, on-the-ground solutions to the world's toughest environmental challenges so that people and nature can thrive. Our work is guided by our values, which include a commitment to diversity and respect for people, communities, and cultures. From a rewarding mission to career development and flexible schedules, there are many reasons to love life #insideTNC. Want to know more? Check out our TNC Talent playlist on YouTube to hear stories from staff or visit Glassdoor . One of TNC's primary goals is to cultivate an inclusive work environment so that employees around the globe have a sense of belonging and feel that their unique contributions are valued. We know we'll only achieve our mission by hiring and engaging a diverse staff that...

Aesculap Aesculap Inc. Strategic Sales Executive US-TX-Dallas | US-TX-Houston US-TX-Austin US-AZ-Phoenix Job ID: 2025-25645 Type: Remote - Full Time # of Openings: 1 Category: Sales Remote U.S. Overview Aesculap, Inc., a B. Braun company, is part of a 180-year-old global organization focused on meeting the needs of an ever-changing healthcare community. Through close collaboration with its customers, Aesculap provides advanced technologies for general surgery, neurosurgery and closure technologies. Aesculap continues a proud heritage of leadership and responsiveness as we strive to deliver products and services that improve the quality of patients' lives. Responsibilities Position Summary: Responsible for identifying, qualifying and closing sales opportunities within assigned territory for Aesculap's offering of Surgical Asset Management (SAM) consulting services.Focus their highly skilled efforts in securing relationships with qualified targets...

Raba Kistner Raba Kistner, Inc. is a premier Engineering Consulting and Program Management firm. Our purpose is to build a better and more sustainable world for our employees, their families, our clients, and the communities we serve. Our Core Values are: Community “We care for our communities” Integrity “We act with integrity” Passion “We infuse passion into everything we do” Quality “We believe quality comes from a culture of innovation and continuous improvement” Growth “We dedicate ourselves to personal and business growth” Raba Kistner is seeking an experienced Archaeologist, Principal Investigator, to join our Environmental team in San Antonio, TX. The duties of the Archaeologist, Principal Investigator will consist of project management, supervisory responsibilities, and fieldwork that includes, but is not limited to, construction monitoring, linear and aerial surveys, National Register of Historic Places eligibility testing, and data recovery...

Aesculap Aesculap Inc. Associate Product Manager US-PA-Center Valley Job ID: 2025-25429 Type: Regular Full-Time # of Openings: 1 Category: Marketing Center Valley, PA Overview Aesculap, Inc., a B. Braun company, is part of a 180-year-old global organization focused on meeting the needs of an ever-changing healthcare community. Through close collaboration with its customers, Aesculap provides advanced technologies for general surgery, neurosurgery and closure technologies. Aesculap continues a proud heritage of leadership and responsiveness as we strive to deliver products and services that improve the quality of patients' lives. Responsibilities Position Summary: Responsible for managing and implementing marketing activities for assigned product areas through research, strategic planning and implementation. Principal Duties Responsibilities: Works with senior marketing member to conduct on-going research to define market needs (includes...