Senior Counsel - Retail Advisory & Regulatory

Ameriprise Financial Services, LLC; Minneapolis (MN); Híbrido; USD 150 000 - 225 000; Tempo integral

Resumo da oferta

Ameriprise Financial Services, LLC is seeking an experienced licensed attorney to serve as a key member of the GCO Advice and Wealth Management Practice Group, supporting the Retail Advisory business, including managed accounts, financial planning, investment research, and portfolio management activities.

The role delivers practical, risk-based legal counsel to support business growth, effective risk management, and regulatory compliance, with in-office collaboration and occasional flexibility

Qualificações

• Juris Doctor degree from an accredited law school.
• 5+ years of experience as a practicing attorney supporting retail advice offerings in the financial services industry.
• Strong expertise in the Investment Adviser's Act of 1940, state securities and investment management statutes and regulations (i.e. Regulation Best Interest and FINRA), and applicable self-regulatory organization rules.
• Admitted to practice law in Minnesota, North Carolina, or eligible for admission as in-house counsel.
• Excellent communication, relationship-management, and collaboration skills.

Responsabilidades

• Serve as a trusted legal partner supporting managed accounts, financial planning, investment research, portfolio management, and related advisory solutions.
• Advise business partners on legal, regulatory, and strategic matters affecting advisory products, services, platforms, client offerings, and business initiatives.
• Support the development, enhancement, and governance of advisory programs, disclosures, agreements, and client-facing materials while helping identify and mitigate legal and regulatory risks.
• Partner with Compliance, Risk, and other key stakeholders to promote effective governance, sound risk-management practices, and a culture of compliance.
• Provide guidance regarding emerging legal, regulatory, and industry developments affecting retail advisory businesses, including conducting legal research and benchmarking industry practices.
• Support regulatory examinations, inquiries, and interactions with regulators, outside counsel, and industry organizations, as appropriate.

Conhecimentos

Investment Advisers Act expertise

Regulatory trends

Communication and collaboration

Influence and credibility with外?

Formação académica

Juris Doctor degree

Descrição da oferta de emprego

Ameriprise Financial Services, LLC is seeking an experienced licensed attorney to serve as a key member of the GCO Advice and Wealth Management Practice Group, supporting the Retail Advisory business, including managed accounts, financial planning, investment research, and portfolio management activities.

The role delivers practical, risk-based legal counsel to support business growth, effective risk management, and regulatory compliance, with in-office collaboration and occasional flexibility