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Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
5.001 – 10.000 Angajați
AsigurăriConsultanțăFinanțe
Ameriprise Financial Services, LLC este o companie de servicii financiare axată pe planificare financiară personalizată, îndrumare pentru investiții și soluții de asigurare. Consultanții săi lucrează direct cu clienții pentru a le înțelege obiectivele și pentru a dezvolta strategii adaptate nevoilor acestora, beneficiind de cercetările Grupului de Cercetare a Investițiilor al companiei și de analiza continuă a piețelor și a economiei. Ameriprise oferă, de asemenea, acces digital la conturile și documentele financiare ale clienților, punând accent pe securitatea și confidențialitatea online.
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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.

USStatele Unite ale AmericiiMNMinnesotaNCCarolina de Nord
150.000 $ – 225.000 $ / an
HibridNormă întreagăSeniorLimbă Obligatorie: englezăDirector juridic

Descriere

  • 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.

Cerințe

  • 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.

Beneficii

  • 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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