Counsel-Trading & Regulatory Derivatives and Financial Products

Ameriprise Financial-posted about 1 month ago
$108,000 - $186,300/Yr
Full-time • Mid Level
Charlotte, NC
5,001-10,000 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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We are seeking a highly skilled and experienced attorney to join our Legal Department, specializing in trading documentation and U.S. financial regulation. This role will support the firm's trading activities across derivatives, securities lending, repurchase transactions and financing transactions, including ISDA Master Agreements, MSFTAs, futures, options, and related documentation. The ideal candidate will also provide legal guidance on compliance with applicable U.S. regulatory frameworks including Dodd-Frank, SEC, CFTC, and other relevant rules. The role is located in the US, however the team is global with colleagues in Europe and Asia.

  • Draft, negotiate, and review trading agreements including: ISDA Master Agreements and Credit Support Annexes (CSAs).
  • Master Securities Forward Transaction Agreements (MSFTAs).
  • Futures and options clearing agreements.
  • Prime brokerage, repurchase agreements (MRAs/GMRAs) and securities lending agreements (GMSLAs).
  • Execution agreements.
  • Coordinate with internal stakeholders (trading, risk, compliance, operations) and external counterparties to ensure timely execution and alignment with firm policies.
  • Ensure trading agreements are compliant with the regulatory and legal framework applicable to a particular client type and jurisdiction.
  • Advise on U.S. regulatory requirements impacting trading activities, including: Dodd-Frank Title VII (swap dealer rules, margin requirements).
  • SEC and CFTC regulations.
  • EMIR, UMR (including initial and variation margin rules) and other cross-border regulatory frameworks as applicable.
  • Monitor regulatory developments and assess impact on trading documentation and practices within the U.S as well as their cross-jurisdictional scope and implication.
  • Support onboarding of clients with counterparty banks and ensure sufficient number of counterparties for launch.
  • Review netting and collateral enforceability opinions.
  • Ensure compliance with key regulatory developments in the derivatives, repurchase transactions and trading space
  • Ensure documentation aligns with internal risk policies, regulatory obligations and client-type specific requirements.
  • Provide legal input on new product launches and trading strategies.
  • Maintain and update legal templates, playbooks, and negotiation guidelines.
  • Participate in internal training and knowledge-sharing initiatives.
  • Juris Doctor (JD) from an accredited law school; active bar membership in good standing.
  • Minimum 5-8 years of experience in a law firm or in-house legal department at a financial institution.
  • Deep understanding of derivatives and trading documentation, including ISDA, MSFTA, and futures/options agreements/OTC clearing addendums.
  • Strong knowledge of U.S. financial regulatory landscape (SEC, CFTC, Dodd-Frank).
  • Excellent negotiation, drafting, and communication skills.
  • Ability to manage multiple complex transactions and work collaboratively across teams.
  • Experience with fund structures and cross-border documentation is a plus.
  • Familiarity with collateral mechanics, margin rules, and netting provisions.
  • Experience with trading platforms and contract lifecycle management tools.
  • Having knowledge of or exposure to regulatory considerations in relation to cross border transactions is a plus.
  • We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
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