Senior Counsel-Corporate & Securities Laws

Ameriprise Financial Services, LLC • Minneapolis, MN

1d • Hybrid

About The Position

This position plays a key role in supporting the Corporate Secretary’s Office and the Board of Directors and related corporate governance, securities and public company matters, and ensures compliance with regulatory expectations and responsibilities of public company boards. The company is a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Its team of 22,000 people across 19 countries serves more than 3.5 million individual, small business and institutional clients. The company is a longstanding leader in financial planning and advice, a global asset manager and an insurer, with unique businesses including Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. The role contributes to fostering meaningful careers, investing in the future, and making a difference for clients, institutions and communities around the world.

Requirements

• Law Degree from an Accredited Law School with 7-10 years of experience as a practicing lawyer.
• Significant experience with and knowledge of all aspects of corporate and federal securities laws and requirements applicable to a public company, preferably in the financial services industry.
• Ability to influence, gain credibility and develop strong working relationships with business partners and external constituencies.
• Ability to organize, plan, manage and implement large and ongoing projects, with competing priorities and deadlines.
• Excellent written, verbal and interpersonal communication skills, attention to detail, and the ability to draft and interpret sophisticated agreements and plans.
• Highly organized with ability to work both independently and in cross-functional teams.
• Ability to communicate results to appropriate audiences and suggest risk assessed alternative courses of action.
• Ability to monitor and analyze developments and trends in areas of responsibility and master new bodies of legal knowledge as regulations and business objectives evolve.
• Admitted to practice law in the state of Minnesota, Massachusetts, North Carolina or eligible for admission as in-house counsel.
• 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).

Responsibilities

• Ensure compliance with public company reporting and NYSE listing requirements, including performing a key role in the preparation of certain sections of the proxy statement and proxy material.
• Ensure compliance with rules and regulations related to corporate governance and company initiatives (e.g., dividends, acquisitions, dissolutions, etc.).
• Ensure compliance with insider trading and Section 16 and Rule 144 filing processes.
• Support shareholder engagement matters and shareholder-related matters and perform research relating to various corporate governance issues including shareholder proposals
• Stay abreast of governance trends and regulatory developments and reviewing and updating as necessary the firm’s governance documents, policies and guidelines.
• Conduct legal research on corporate governance issues and executive compensation trends and disclosure.
• Lead a team of governance specialists including paraprofessionals and director of board operations.
• Support Corporate Governance Processes for both holding company and subsidiaries, including: Key activities for board and committee meetings, including preparation of resolutions and board materials, as needed, and preparation and review of minutes.
• Support Internal corporate records, including subsidiary articles, bylaws, resolutions, meeting agendas and materials.
• Manage governance relating to executive compensation matters, including incentive plans and programs, equity administration and related public company disclosure considerations.
• Participate in the development of corporate governance policies and programs including preparation, implementation and refinement of policies and processes.

Benefits

• competitive and comprehensive benefits program that supports all aspects of your health and well-being
• vacation time
• sick time
• 401(k)
• health, dental and life insurances
• 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: Senior
• Education Level: Ph.D. or professional degree
• Number of Employees: 5,001-10,000 employees