Sr Legal Analyst IND

Ameriprise Financial Services, LLC; Gurugram District; On-site; INR 1,800,000 - 2,800,000; Full time

Job summary

Ameriprise India LLP is seeking a qualified legal/compliance professional to support its Global Corporate Legal team in regulatory matters for asset-management services. The role focuses on mutual funds, ETFs and related disclosures, coordinating with internal teams and external counsel to ensure compliance with U.S.

and global requirements. Ideal candidates bring 3-5 years in asset management or related regulatory reporting, familiarity with SEC filings, and the ability to manage multiple tasks

Qualifications

• 3-5 years of experience in Asset Management, Mutual Funds, Investment Management, Fund Governance, Legal, Compliance, or Regulatory Reporting.
• Experience supporting U.S. registered investment companies (Mutual Funds, ETFs, Variable Products).
• Experience working with SEC regulatory filings and disclosure documents.

Responsibilities

• Manage creation, update and publishing of funds prospectuses, SAI, Part Cs and Supplements using a prospectus library tool.
• Draft procedures for mutual fund and fund compliance programs incl. SEC Rule 38a-1.
• Prepare and review regulatory reporting information for funds and sub-advisers.

Skills

Research Skills

Attention to detail

Organization

Independent work

Team player

Tools

DFIN ArcPro

Job description

About Our Company

Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. The firm’s focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection.

About Our Company

Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. The firm’s focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection.

Be part of an inclusive, collaborative culture that rewards you for your contributions, and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So, if you're talented, driven and want to work for a strong, ethical company that cares, take the next step and create a career at Ameriprise India LLP.

Job Description

The General Counsel’s Organization (GCO) & Centralized Supervisory Unit (CSU) team in India, includes the legal, compliance, Supervision functions that support Ameriprise Financial and its subsidiaries. The team plays a major role in mitigating and managing legal, compliance, Supervision risks for the firm.

Role Responsibilities

We are seeking to identify a qualified candidate for a position in GCO for Global Corporate Legal team, intended to provide support to our GCO legal function in the US that is responsible for corporate and securities law. The person is responsible for the following along with any other functions assigned as part of the requirements to meet the larger goal mentioned above:

Responsibilities

The role will focus primarily on legal and regulatory matters relating to ColumbiaThreadneedle Investments’ asset management business and in particular its registered funds, regardless of jurisdiction, offering documents. Specific responsibilities include:

• Manage the creation, update and publishing of Columbia Funds (Mutual Funds, Exchange-Traded Funds and Collective Investment Trusts) prospectuses, Statements of Additional Information, Part Cs and Supplements with the use of a prospectus library software.
• Draft legal procedures related to mutual fund and certificate compliance programs, including procedures required by SEC Rule 38a-1.
• Prepare and review N-CEN regulatory reporting information, ensuring accuracy of fund, sub-adviser, and service-provider disclosures.
• Lead the preparation, updates and filings of annual reports and organizational documents of the mutual funds with the various states of incorporation.
• Lead legal work pertaining to new product launches, mergers and liquidations.
• Work with the Accounting, Performance, Compliance, Tax, Transfer Agent, Financial Reporting, Product and Portfolio management teams, and outside law firms during prospectus/SAI review and updates.
• Prepare and review legal vendor invoice processing, including ArcPro and non-ArcPro invoices, fund expense coordination, payment support, and tracking of filing-related expenses.

Key Capabilities

• DFIN ArcPro.
• Applied knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940 and state laws.
• Research Skills.
• Mature, professional demeanor.
• Strong attention to detail, organization, and ability to successfully manage several ongoing assignments.
• Ability to work independently and proactively to multi-task and demonstrate a strong sense of urgency.
• Dedicated team player who can thrive in a global, dynamic and team-oriented environment.

Desirable

• experience working within a global financial services or asset management company
• experience with and understanding of the general framework of asset management products and services, ideally within Europe and globally
• experience working with disclosure documents generally

Required Qualifications

• 3-5 years of experience in Asset Management, Mutual Funds, Investment Management, Fund Governance, Legal, Compliance, or Regulatory Reporting.
• Experience supporting U.S. registered investment companies (Mutual Funds, ETFs, Variable Products).
• Experience working with SEC regulatory filings and disclosure documents.
• Experience coordinating with multiple business stakeholders and external counsel.
• Experience with publicly traded companies and/or M&A activities (fund mergers, reorganizations, liquidations) would be an advantage.

Full-Time/Part-Time

Full time

Timings

(2:00p-10:30p)

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs

Ameriprise India LLP is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, genetic information, age, sexual orientation, gender identity, disability, military status, veteran status, marital status, pregnancy, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.