Legal Lead
- Ameriprise Financial
- 3 - 8 years
- Noida, Gurugram
- 2 months ago
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Job Description
Ameriprise Financial Services LLC has an exciting opportunity for a Legal Affairs Manager position in the General Counsel's Office (GCO) Advice and Wealth Management Practice Group, supporting the companys advisory products and services for retail customers. This position will support the Retail Investment Advice Legal team and will work on cutting edge, innovative products and services that represent the core value proposition of our business. Specifically, this role will provide legal support on managed account offerings, including discretionary and non-discretionary accounts, as well as Ameriprise's core value proposition of providing goal-based advice in one of two ways: Comprehensive Advice or Foundational Advice.Key Responsibilities
- Issue spotting and application of the federal securities laws impacting all aspects of retail investment advice, including Regulation Best Interest, the Investment Advisers Act and applicable FINRA rules and state securities regulations.
- Conduct legal, factual and benchmarking research and prepare summaries of risk/legal analysis.
- Review marketing, training and other field facing materials.
- Assist with drafting various client facing disclosures and agreements to support new products/services and to address regulatory changes.
- Prepare and file updates to Forms ADV and BD
- Maintain records, procedures and processes for maintaining agreements, disclosures and filings.
- Support the conflicts of interest program by monitoring and documenting conflicts of interest and associated controls.
- Cultivate and promote relationships with key business partners.
- Foster and promote a culture of compliance
- Collaborate with Compliance personnel on relevant compliance related matters.
Required Qualifications
- Graduation or any equivalent degree (3 years)
- 3-5 years relevant experience
- Paralegal Certificate from ABA approved program or equivalent education/experience
- Solid drafting and research skills.
- Solid analytical skills.
- Highly organized and detail oriented.
- Exhibits good working knowledge of products and services and business lines related to area of responsibility.
- Demonstrates increasing depth of knowledge of regulatory framework area of specialty and/or increasing breadth of knowledge in areas within and related to area of specialty.
- Has primary business partner responsibility for particular individuals or issues (more routine in nature).
- Makes decisions quickly and appropriately using extensive expertise.
- Advanced subject matter expertise in business area being supported.
- Ability to learn and utilize new tools and technologies.
Preferred Qualifications
- LLB or equivalent
- Advanced subject matter expertise in retail advice products & services.
- Previous experience negotiating agreements.
- Familiarity with IARD filing system
- Previous experience drafting Form ADV and related regulatory disclosures
Job Classification
Industry: BankingFunctional Area / Department: Legal & RegulatoryRole Category: Legal & Regulatory - OtherRole: Private Attorney / LawyerEmployement Type: Full timeContact Details:
Company: Ameriprise FinancialLocation(s): Noida, Gurugram
Keyskills: llb securities law regulatory drafting regulations companies act company law litigation management legal documentation sebi corporate law arbitration legal management litigation listing agreement secretarial activities corporate governance fema
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