Legal Affairs Manager
About The Position
Ameriprise Financial Services LLC has an exciting opportunity for a Legal Affairs Manager position in the General Counsel's Office (GCO) Advice and Wealth Management Practice Group, supporting the company's advisory products and services for retail customers. This position will support the Retail Investment Advice Legal team and will work on cutting edge, innovative products and services that represent the core value proposition of our business. Specifically, this role will provide legal support on managed account offerings, including discretionary and non-discretionary accounts, as well as Ameriprise's core value proposition of providing goal-based advice in one of two ways: Comprehensive Advice or Foundational Advice.
Requirements
- Associate's degree or equivalent (2 years)
- 3-5 years relevant experience
- Paralegal Certificate from ABA approved program or equivalent education/experience
- Previous experience negotiating agreements.
- Familiarity with IARD filing system
- Previous experience drafting Form ADV and related regulatory disclosures
- Solid drafting and research skills.
- Solid 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.
- Ability to learn and utilize new tools and technologies.
Nice To Haves
- JD or equivalent (6 years)
- Advanced subject matter expertise in retail advice products & services.
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.
- Assist with drafting 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
- Collaborate with Compliance personnel on relevant compliance related matters.
Benefits
- 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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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
Education Level
Associate degree
Number of Employees
5,001-10,000 employees
