Job DescriptionAmeriprise Financial Services LLC. is offering an exciting opportunity for an experienced licensed attorney to become an integral part of the GCO Advice and Wealth Management Practice Group, supporting the firm's Retail Advisory business, including managed accounts, financial planning, investment research, and portfolio management activities. The role provides practical, risk-based legal counsel that supports business growth, innovation, effective risk management, and compliance with applicable regulatory requirements.
Key Responsibilities- Serve as a trusted legal partner supporting managed accounts, financial planning, investment research, portfolio management, and related advisory solutions.
- Advise business partners on legal, regulatory, and strategic matters affecting advisory products, services, platforms, client offerings, and business initiatives.
- Support the development, enhancement, and governance of advisory programs, disclosures, agreements, and client-facing materials while helping identify and mitigate legal and regulatory risks.
- Partner with Compliance, Risk, and other key stakeholders to promote effective governance, sound risk-management practices, and a culture of compliance.
- Provide guidance regarding emerging legal, regulatory, and industry developments affecting retail advisory businesses, including conducting legal research and benchmarking industry practices.
- Support regulatory examinations, inquiries, and interactions with regulators, outside counsel, and industry organizations, as appropriate
Required Qualifications- Juris Doctor degree from an accredited law school.
- Strong expertise in the Investment Adviser's Act of 1940, state securities and investment management statutes and regulations (i.e. Regulation Best Interest and FINRA), and applicable self-regulatory organization rules.
- 5+ years of experience as a practicing attorney supporting retail advice offerings in the financial services industry.
- Ability to influence, gain credibility and develop strong working relationships with business partners and external constituencies.
- Knowledge of applicable regulatory and industry trends.
- Strong business acumen and ability to provide practical, risk-based legal advice.
- Excellent communication, relationship-management, and collaboration skills.
- Strong judgment, analytical capabilities, and problem-solving skills.
- Admitted to practice law in Minnesota, North Carolina, or eligible for admission as in-house counsel.
Preferred Qualifications- Experience with ERISA requirements applicable to retail advisory offerings.
- Experience supporting SEC, state, FINRA, or other regulatory examinations, inquiries, or enforcement matters.
- Experience supporting managed account platforms, dual registrant business models, or complex advisory offerings.
- Experience partnering with business partners on strategic initiatives.
- Experience mentoring paralegals or other legal professionals.
Visa SponsorshipApplicants 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).
In-Office CollaborationWe are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders - clients, advisors, employees and shareholders. 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.
Base Pay SalaryThe estimated base salary for this role is $150,000 - $225,000/ 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-Time/Part-TimeFull time
Exempt/Non-ExemptExempt
Job Family GroupLegal Affairs
Line of Business GCO General Counsel's Organization
