Legal Lead

You have an exciting opportunity to join Ameriprise Financial Services LLC as a Legal Affairs Manager in the General Counsel's Office (GCO) Advice and Wealth Management Practice Group. In this role, you will be supporting the company's advisory products and services for retail customers, working on cutting-edge and innovative products that drive the core value proposition of the business. Specifically, you will be providing legal support for managed account offerings, including discretionary and non-discretionary accounts, as well as delivering goal-based advice through Comprehensive Advice or Foundational Advice. **Key Responsibilities:** - Issue spotting and application of federal securities laws affecting retail investment advice. - Conduct legal, factual, and benchmarking research and prepare risk/legal analysis summaries. - Review marketing, training, and other field-facing materials. - Assist in drafting client-facing disclosures and agreements for new products/services and regulatory changes. - Prepare and file updates to Forms ADV and BD. - Maintain records, procedures, and processes for agreements, disclosures, and filings. - Support conflicts of interest program by monitoring and documenting conflicts and controls. - Cultivate relationships with key business partners. - Foster a culture of compliance. - Collaborate with Compliance personnel on compliance matters. **Required Qualifications:** - Graduation or equivalent degree (3 years). - 3-5 years of relevant experience. - Paralegal Certificate from ABA approved program or equivalent education/experience. - Strong drafting and research skills. - Analytical, organized, and detail-oriented. - Good working knowledge of products, services, and business lines. - Increasing depth of regulatory framework knowledge. - Ability to make quick and appropriate decisions. - Advanced subject matter expertise in business area being supported. - Ability to learn and use new tools and technologies. **Preferred Qualifications:** - LLB or equivalent. - Advanced expertise in retail advice products & services. - Previous experience in negotiating agreements. - Familiarity with IARD filing system. - Previous experience in drafting Form ADV and related disclosures. In addition, **Ameriprise India LLP** has been providing client-based financial solutions for 125 years. The company is headquartered in Minneapolis with a global presence, focusing on Asset Management and Advice, Retirement Planning, and Insurance Protection. Join a collaborative culture that values your contributions and offers opportunities for growth and community impact. **Full-Time/Part-Time:** Full-time **Timings:** 2:00 PM - 10:30 PM **India Business Unit:** AWMPO AWMP&S President's Office **Job Family Group:** Legal Affairs You have an exciting opportunity to join Ameriprise Financial Services LLC as a Legal Affairs Manager in the General Counsel's Office (GCO) Advice and Wealth Management Practice Group. In this role, you will be supporting the company's advisory products and services for retail customers, working on cutting-edge and innovative products that drive the core value proposition of the business. Specifically, you will be providing legal support for managed account offerings, including discretionary and non-discretionary accounts, as well as delivering goal-based advice through Comprehensive Advice or Foundational Advice. **Key Responsibilities:** - Issue spotting and application of federal securities laws affecting retail investment advice. - Conduct legal, factual, and benchmarking research and prepare risk/legal analysis summaries. - Review marketing, training, and other field-facing materials. - Assist in drafting client-facing disclosures and agreements for new products/services and regulatory changes. - Prepare and file updates to Forms ADV and BD. - Maintain records, procedures, and processes for agreements, disclosures, and filings. - Support conflicts of interest program by monitoring and documenting conflicts and controls. - Cultivate relationships with key business partners. - Foster a culture of compliance. - Collaborate with Compliance personnel on compliance matters. **Required Qualifications:** - Graduation or equivalent degree (3 years). - 3-5 years of relevant experience. - Paralegal Certificate from ABA approved program or equivalent education/experience. - Strong drafting and research skills. - Analytical, organized, and detail-oriented. - Good working knowledge of products, services, and business lines. - Increasing depth of regulatory framework knowledge. - Ability to make quick and appropriate decisions. - Advanced subject matter expertise in business area being supported. - Ability to learn and use new tools and technologies. **Preferred Qualifications:** - LLB or equivalent. - Advanced expertise in retail advice products & services. - Previous experience in negotiating agreements. - Familiarity with IARD filing system. - Previous experience in drafting