Job Description
Assist attorneys in support of all aspects of investment management matters. Research laws, regulatory requirements and industry practices relevant to the business. Provide advice and recommendations appropriate to level of knowledge and research performed. Draft documents/memos 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 counsel.
New York Residents Only: The estimated base salary for this role is $88,600 – $119,500 / year. Base salaries are determined in part 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 support all aspects of your health and well-being.
About Our Company
At Ameriprise Financial, we’re not just in the business of helping clients with their financial goals – we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you’re motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Preferred Qualifications
- Previous experience with analysis of contract provisions.
- Familiarity with IARD and SEC filing procedures.
- Corporate governance experience.
- Board meeting experience.
- 4-year college degree
Responsibilities
- Manage annual and other updates of US and non-US regulatory filings, including Form ADV and Form BD.
- Support (Cayman and Delaware domiciled) private funds generally, including preparation and review of private fund board materials and fund documentation, side letters, regulatory matters.
- Support the mutual fund Cayman Controlled Foreign Corporate entities, including formation, liquidation and general ongoing corporate secretarial work,
- Review of final investment management agreements 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
- Associate 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.