Legal Affairs Manager

About Our Company

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

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.
• Draft 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.

Requirements

• Associate’s degree or equivalent (2 years)
• 3-5 years relevant experience
• Paralegal Certificate from ABA approved program or equivalent education/experience
• Solid research and 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
• Ability to make decisions quickly and appropriately using extensive expertise
• Ability to learn and utilize new tools and technologies

Preferred Qualifications

• JD or equivalent (6 years)
• Advanced subject matter expertise in business area being supported
• Previous experience negotiating agreements
• Familiarity with IARD filing system

Schedule

Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Pay

The estimated base salary for this role is $73,500 - $129,100/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role.

Benefits

We offer a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.