Legal Affairs Manager

Ameriprise Financial Services, LLC•Boston, MA

5d•$73,500 - $129,100•Hybrid

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.

Requirements

Associate’s 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
Make decisions quickly and appropriately using extensive expertise
Ability to learn and utilize new tools and technologies

Nice To Haves

JD or equivalent (6 years)
Advanced subject matter expertise in business area being supported
Previous experience negotiating agreements
Familiarity with IARD filing system

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.
Collaborate with Compliance personnel on relevant compliance related matters