Legal Affairs Manager

Ameriprise Financial Services, LLC • Boston, MA

1d • Hybrid

About The Position

Ameriprise Financial is a diversified financial services leader with over $1.5 trillion in assets under management, administration, and advisement as of year-end 2024, serving more than 3.5 million clients globally with a team of 22,000 people across 19 countries. The company is a leader in financial planning and advice, a global asset manager, and an insurer, comprising Ameriprise Financial, Columbia Threadneedle Investments, and RiverSource Insurance and Annuities. The Legal Affairs Manager position is within Ameriprise Financial, focusing primarily on supporting the Columbia Threadneedle Investments registered investment companies. This role involves performing ongoing legal and regulatory activities for these companies under the direction of an attorney. Key responsibilities include coordinating the creation, updating, and filing of registration statement post-effective amendments, including prospectuses and statements of additional information (SAIs), and other disclosure documents required by the Investment Company Act of 1940, Securities Act of 1933, and the Securities Exchange Act of 1934. The manager will solicit and coordinate input for disclosure documents from various business lines (product, marketing, fund administration, compliance, investment personnel), outside counsel, and outside accountants. The role also provides legal and regulatory support for Columbia Threadneedle Investments’ investment advisory business, including collective investment trusts, compliance with SEC regulations, various Ameriprise Financial entities, and corporate governance matters. The Legal Affairs Manager will collaborate closely with other members of Asset Management Legal within the General Counsel’s Organization and various lines of business, working as part of a team supporting Columbia Threadneedle Investments.

Requirements

• Associates degree plus paralegal certificate or bachelor’s degree equivalent.
• Ability to interpret, analyze and apply legal requirements applicable to registered investment companies.
• Mature, professional demeanor.
• Strong attention to detail.
• Strong organizational skills.
• Ability to successfully manage several ongoing assignments.
• Excellent communication skills.
• Excellent interpersonal skills.
• Excellent writing skills.
• Excellent problem-solving skills.
• Dedicated team player.
• Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Nice To Haves

• Three to five years’ experience supporting an asset management business.

Responsibilities

• Performing on-going legal and regulatory related activities with respect to the registered investment companies.
• Coordinating the creation, updating, and filing of registration statement post-effective amendments containing prospectuses and statements of additional information (SAIs) (including annual updates and supplements thereto) and other disclosure documents required by the Investment Company Act of 1940 ("1940 Act"), Securities Act of 1933 and the Securities Exchange Act of 1934.
• Soliciting and coordinating input to disclosure documents from business lines (including product, marketing, fund administration, compliance and investment personnel), outside counsel and outside accountants.
• Providing legal and regulatory support for Columbia Threadneedle Investments’ investment advisory business, including those relating to: (i) the collective investment trusts; (ii) compliance with existing and new SEC regulations; (iii) various Ameriprise Financial entities and their related products or investments; and (iv) corporate governance matters.
• Working closely with other members of Asset Management Legal in the General Counsel’s Organization, as well as members of the firm’s various lines of business.

Benefits

• Competitive and comprehensive benefits program that supports all aspects of your health and well-being
• Vacation time
• Sick time
• 401(k)
• Health insurance
• Dental insurance
• Life insurance
• Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Associate degree