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Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
5,001 – 10,000 कर्मचारी
परामर्शबीमावित्त
Ameriprise Financial Services, LLC एक वित्तीय सेवा कंपनी है, जो व्यक्तिगत वित्तीय योजना, निवेश मार्गदर्शन और बीमा समाधानों पर केंद्रित है। इसके सलाहकार ग्राहकों के साथ सीधे काम करके उनके लक्ष्यों को समझते हैं और उनके लिए उपयुक्त रणनीतियाँ तैयार करते हैं। इन रणनीतियों को कंपनी के Investment Research Group के शोध तथा बाज़ार और अर्थव्यवस्था के निरंतर विश्लेषण का समर्थन प्राप्त होता है। Ameriprise ग्राहकों को अपने खातों और वित्तीय दस्तावेज़ों तक डिजिटल पहुँच भी प्रदान करती है और ऑनलाइन सुरक्षा व गोपनीयता पर विशेष ध्यान देती है।
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कंपनी की नौकरियाँ

Senior Counsel, Retail Advisory

Advise Ameriprise’s retail advisory and wealth management businesses on legal risks, regulatory obligations, and business initiatives. Support advisory programs, compliance, governance, and regulatory examinations.

USसंयुक्त राज्यMNमिनेसोटाNCउत्तरी कैरोलिना
$1,50,000 – $2,25,000 / वर्ष
हाइब्रिडपूर्णकालिकवरिष्ठआवश्यक भाषा: अंग्रेज़ीमुख्य विधि सलाहकार

विवरण

  • Partner with teams supporting managed accounts, financial planning, investment research, portfolio management, and related advisory services.
  • Advise on legal, regulatory, and strategic issues involving advisory products, platforms, client offerings, and business initiatives.
  • Help develop and oversee advisory programs, disclosures, agreements, and materials for clients.
  • Identify and reduce legal and regulatory risks.
  • Work with Compliance, Risk, and other stakeholders to strengthen governance, risk management, and compliance practices.
  • Explain emerging legal, regulatory, and industry developments relevant to retail advisory businesses.
  • Research legal issues and compare industry practices.
  • Assist with regulatory examinations and inquiries, and coordinate with regulators, external counsel, and industry organizations.

आवश्यकताएँ

  • Juris Doctor from an accredited law school.
  • Strong command of the Investment Advisers Act of 1940, state securities and investment management laws and regulations, Regulation Best Interest, FINRA rules, and applicable self-regulatory organization requirements.
  • At least five years of legal practice supporting retail advice offerings in financial services.
  • Ability to influence others, build credibility, and establish strong relationships with business partners and external stakeholders.
  • Knowledge of relevant regulatory and industry trends.
  • Business judgment to deliver practical, risk-based legal advice.
  • Strong communication, relationship management, and collaboration skills.
  • Sound judgment, analytical ability, and problem-solving skills.
  • Admission to practice in Minnesota or North Carolina, or eligibility for in-house counsel admission.
  • Experience with ERISA requirements for retail advisory offerings.
  • Experience supporting SEC, state, FINRA, or other regulatory examinations, inquiries, or enforcement matters.
  • Experience with managed account platforms, dual registrant business models, or complex advisory offerings.
  • Experience working with business partners on strategic initiatives.
  • Experience mentoring paralegals or other legal professionals.
  • Authorized to work in the United States without visa sponsorship now or in the future.

लाभ

  • Variable compensation may include bonuses, commissions, and/or long-term incentives, depending on the role.
  • Competitive, comprehensive benefits program.
  • Vacation time.
  • Sick time.
  • 401(k) plan.
  • Health insurance.
  • Dental insurance.
  • Life insurance.
  • Option to work from home one day per week.
  • Reasonable accommodations during recruitment for individuals with disabilities.

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