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
Graduation or any equivalent degree (3 years)
3-5 years relevant experience
Paralegal Certificate from ABA approved program or equivalent education/experience
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
LLB or equivalent
Advanced subject matter expertise in retail advice products & services.
Previous experience negotiating agreements.
Familiarity with IARD filing system
Previous experience drafting Form ADV and related regulatory disclosures
About Our Company
Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 125 years. We are a U.S. based financial planning company headquartered in Minneapolis with a global presence. The firm’s focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you're talented, driven and want to work for a strong ethical company that cares, take the next step and create a career at Ameriprise India LLP.
Ameriprise India LLP is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, genetic information, age, sexual orientation, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Timings
India Business Unit
Job Family Group
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.
