Senior Counsel, Retail Advisory & Wealth Management (Hybrid)

ameriprise; United States; On-site; USD 150,000 - 225,000; Full time

Benefits offered by this job

Bonus eligibility

Comprehensive benefits

In-office culture

Job summary

Ameriprise Financial Services LLC seeks an experienced licensed attorney to support its Retail Advisory business, including managed accounts, financial planning, investment research, and portfolio management. You will provide practical, risk-based legal counsel to enable growth while ensuring regulatory compliance and governance across advisory programs.

The role emphasizes collaboration with Compliance, Risk, and business partners, with in-office collaboration and a client-centric approach to

Qualifications

• JD from an accredited law school.
• 5+ years supporting retail advisory in financial services.
• Knowledge of Investment Advisers Act of 1940 and FINRA rules.
• Admitted to practice in Minnesota, North Carolina, or eligible for in-house.
• Strong business acumen and ability to provide practical, risk-based legal advice.
• Excellent communication, relationship-management, and collaboration skills.

Responsibilities

• Advise on legal, regulatory and strategic matters for advisory products.
• Partner with Compliance and Risk to promote governance and risk management.
• Support development of advisory disclosures, agreements, and client materials.
• Provide guidance on emerging regulatory developments affecting retail advisory.
• Assist with regulatory examinations and inquiries with regulators.
• Serve as trusted legal partner for managed accounts and portfolio management.

Skills

Regulatory knowledge

Communication skills

Analytical thinking

Relationship building

Problem solving

Judgment

Education

Juris Doctor (JD) degree

Job description

Ameriprise Financial Services LLC seeks an experienced licensed attorney to support its Retail Advisory business, including managed accounts, financial planning, investment research, and portfolio management. You will provide practical, risk-based legal counsel to enable growth while ensuring regulatory compliance and governance across advisory programs.

The role emphasizes collaboration with Compliance, Risk, and business partners, with in-office collaboration and a client-centric approach to