Legal Affairs Manager of Retail Investment Advice at Ameriprise Financial in Minneapolis, Minnesota

Posted in Other 18 days ago.

Type: Full Time





Job Description:

Ameriprise Financial has an exciting opportunity for a Legal Affairs Manager position in the GCO Advice and Wealth Management Practice Group. This position will join the Retail Investment Advice Legal team and will support managed accounts, including discretionary and non - discretionaryaccounts, as well as financial planning products and services that represent the core value proposition of our business. Come apply today!

Key Responsibilities


  • Issue spotting and application of the federal securities laws impacting all aspects of retail investment advice, including Regulation Best Interest, the Investment Advisers Act and applicable FINRA rules and state securities regulations.


  • Conduct legal, factual and benchmarking research and prepare summaries of risk/legal analysis.


  • Review marketing, training and other field facing materials.


  • Draft various client facing disclosures and agreements to support new products/services and to address regulatory changes.


  • Prepare and file updates to Forms ADV and BD.


  • Maintain records, procedures and processes for maintaining agreements, disclosures and filings.


  • Support the conflicts of interest program by monitoring and documenting conflicts of interest and associated controls.


  • Cultivate and promote relationships with key business partners.


  • Foster and promote a culture of compliance and collaborate with compliance personnel on relevant compliance related matters.



Required Qualifications


  • Associate degree or equivalent (2 years).


  • 3-5 years relevant experience.


  • Paralegal Certificate from ABA approved program or equivalent education/experience.


  • Solid research and analytical skills.


  • Highly organized and detail-oriented.


  • Exhibits good working knowledge of products and services and business lines related to area of responsibility.


  • Demonstrates increasing depth of knowledge of regulatory framework area of specialty and/or increasing breadth of knowledge in areas within and related to area of specialty.


  • Has primary business partner responsibility for particular individuals or issues (more routine in nature).


  • Makes decisions quickly and appropriately using extensive expertise.


  • Advanced subject matter expertise in business area being supported.



Preferred Qualifications


  • JD or equivalent (6 years)


  • Advanced subject matter expertise in business area being supported.


  • Previous experience negotiating agreements.


  • Familiarity with IARD filing system


  • Ability to learn and utilize new tools and technologies.


About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration. Our team of 20,000 people in more than 20 countries advise, manage and protect the assets and income of more than 2 million individual, small business and institutional clients. We are a long-standing 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 - Ameriprise Financial Services, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Base Pay Salary

New York Residents Only: The estimated base salary for this role is $90,300 - $121,800 / year. Base salaries are determined in part based on job-related 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 support all aspects of your health and well-being.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's OrganizationPDN-9baf2794-9ab1-4b58-9dcb-6e734af91014
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