Legal Affairs Manager

Assist attorneys in support of all aspects of investment management matters. Research laws, regulatory requirements and industry practices relevant to the business. Collaborate across the General Counsel's Office (GCO) and business to perform various tasks. Provide advice and recommendations appropriate to level of knowledge and research performed. Draft documents/memos, review standard contract amendments and respond to various internal and external requests. Collaborate across the General Counsel's Office (GCO) and business to perform various tasks. Work under direction of Senior Counsel.
This position can be based in Boston, New York, Charlotte or Minneapolis.

Key Responsibilities

• Manage annual and other updates of US and non-US regulatory filings, including Form ADV and Form BD. 

• Support Collective Investment Trust funds generally, including preparation and review of fund documentation.

• Support 529 Plans generally, including preparation and review of plan documentation.

• Review of investment management agreement amendments and analyze various data points.

• Provide support to attorneys and other paralegals on various matters, which may include gathering and tracking data for filings, registrations, material obligations, or sending internal communications and request for information needed in order to move forward on tasks or projects on behalf of the legal department.

• Conduct research, perform analysis, and/or interpret legal, regulatory requirement or industry practices relevant to the business.  Compile and communicate results or recommendations to appropriate parties.

• Track data and maintain databases.  For example, maintain filing systems for legal documents and ensure compliance with record retention guidelines.

• Work on special projects and initiatives as requested.

Required Qualifications

• Associates Degree or equivalent (2 years).

• 3-5 years relevant experience.

• Paralegal Certificate from ABA approved program or equivalent education/experience.

• Experience working in financial services industry and/or asset management industry.

• 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.

• Advanced subject matter expertise in business area being supported.

• Ability to learn and utilize new tools and technologies.

• Confident in dealing with gray and new areas.

• Ability to know when to ask questions.

 
Preferred Qualifications

• Previous experience with analysis of contract provisions.  

• Preview paralegal experience.

• Familiarity with IARD and SEC filing procedures.

• Familiarity with 529 Plans and Collective Investment Trusts funds and related regulatory framework, including regulatory document updates.

• 4 year college degree.
   

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 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of 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.

The estimated base salary for this role is $72,100 - $124,300/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. We also have 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.Full timeExemptLegal AffairsGCO General Counsel's Organization