Key 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.
Assist with drafting 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.
Required Qualifications
Associate's degree or equivalent (2 years)
3-5 years relevant experience
Paralegal Certificate from ABA approved program or equivalent education/experience
Previous experience negotiating agreements.
Familiarity with IARD filing system
Previous experience drafting Form ADV and related regulatory disclosures
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 using extensive expertise.
Advanced subject matter expertise in business area being supported.
Ability to learn and utilize new tools and technologies.
Preferred Qualifications
JD or equivalent (6 years)
Advanced subject matter expertise in retail advice products & services.
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.
Base Pay Salary
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.
Full-Time/Part-Time
Exempt/Non-Exempt
Job Family Group
Line of Business
Ameriprise Financial Services, LLC Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Ameriprise Financial Services, LLC and has not been reviewed or approved by Ameriprise Financial Services, LLC.
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Retirement Support — Feedback suggests a 401(k) with company contributions and financial well‑being programs strengthens long‑term savings. Employee stock purchase access and planning subsidies further support retirement readiness.
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Strong & Reliable Incentives — Feedback suggests annual and long‑term performance incentives, alongside variable or commission components in advisor roles, can create meaningful upside for certain positions. Licensing support and bonus opportunities reinforce a performance‑linked pay mix.
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Flexible Benefits — Feedback suggests flexible work options, the ability to purchase extra vacation, and paid volunteer time provide adaptable benefits for different life needs. On‑site clinic and fitness resources at headquarters and wellbeing programs add convenient lifestyle support.
Ameriprise Financial Services, LLC Insights
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What We Do
Ameriprise Financial has helped millions of clients feel confident about their financial futures for more than 125 years. Our network of approximately 10,000 financial advisors* delivers personalized financial advice to help clients reach their goals. We believe that with the right advisor, the right advice, and the right firm, life can be brilliant. Ameriprise has corporate locations throughout the U.S. and across the globe, and advisor offices in all 50 states. Learn how you can build your career at Ameriprise Financial. *Ameriprise Financial Q2 2020 Statistical Supplement All content on this page is provided for informational purposes only and should not be used as the sole basis for investment decisions. Ameriprise Financial cannot guarantee future financial results. Investment products are not federally or FDIC insured, are not deposits or obligations of, or guaranteed by, any financial institution, and involve investment risks including possible loss of the entire amount invested. By clicking on a hyperlink, you may be directed to a non-Ameriprise website. Be aware that the linked site will be subject to rules, regulation, and privacy and security provisions that are separate, and may differ, from Ameriprise Financial. Investment advisory products and services are made available through Ameriprise Financial Services, LLC., a registered investment adviser.
