Ameriprise Financial Services LLC is offering an exciting opportunity for a licensed attorney to become an integral part of the General Counsel Organization Advice and Wealth Management Practice Group, supporting Retail Investment Advice offerings including financial planning, digital advice and managed accounts, as well as supporting the Global Conflicts program and filings. This high visibility legal position will provide advice on cutting edge, innovative products and services that represent the core value proposition of our business. The attorney in this position will play a key role in providing legal support, benchmarking and thought leadership to businesses developing and maintaining our managed accounts, which include retail discretionary and non-discretionary offerings. These accounts collectively manage approximately $450 billion in invested assets, making Ameriprise Financial the largest independent broker-dealer (IBD) in the managed account space. This attorney will also support and continue to develop our industry leading financial planning business, which is our differentiating value proposition. The attorney in this position will provide advice on key regulatory and policy matters. This role reports to the VP & Group Counsel for Retail Investment Advice - Legal. Key Responsibilities - Provide legal support to various projects and initiatives by spotting issues and providing guidance that applies 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 - Provide day to day legal support on managed account offerings, including discretionary and non - discretionaryaccounts - Support Ameriprise's core value proposition of providing goal-based advice in one of two ways: Comprehensive Advice or Foundational Advice - Support development of marketing materials including sales collateral, proposal tools, digital engagement experiences and websites -Identify and prepare updates to client facing disclosures and agreements to support new products/services and to address regulatory changes - Negotiate master advisory agreements and other vendor agreements -Support the conflicts of interest program at the global and business segment levels, including documenting and advising on conflicts of interests and associated controls conflicts of interests and associated controls - Cultivate and promote relationships with key business partners and fostering and promotinga culture of compliance - Conduct research regarding legal and regulatory requirements as well as benchmarkingindustry practices - Collaborate with Compliance personnel on relevant compliance related matters andidentifying, developing and implementing control enhancements and risk mitigation strategies; and - Work with regulators, outside counsel and independent experts from time to time onexaminations and other issues. Required Qualifications - Bachelor's Degree or equivalent - JD with experience and expertise in the Investment Adviser's Act of 1940, state securities and investment management statutes and regulations (i.e. Regulation Best Interest), and applicable FINRA/self-regulatory organization rules - 0-1 years relevant experience - Proficient in legal research computer based tools, such as Westlaw, Lexis and Microsoft Office applications -Demonstrated accuracy, thoroughness and thoughtfulness in legal analysis - Strong communication skills, both verbal and written