Legal Lead IND

2 weeks ago

Gurgaon, Haryana, India Ameriprise Financial Services, LLC Full time ₹ 15,00,000 - ₹ 25,00,000 per year
Ameriprise Financial Services LLC has an exciting opportunity for a Legal Affairs Manager position in the General Counsel's Office (GCO) Advice and Wealth Management Practice Group, supporting the company's advisory products and services for retail customers. This position will support the Retail Investment Advice Legal team and will work on cutting edge, innovative products and services that represent the core value proposition of our business. Specifically, this role will provide legal support on managed account offerings, including discretionary and non-discretionary accounts, as well as Ameriprise's core value proposition of providing goal-based advice in one of two ways: Comprehensive Advice or Foundational Advice.

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

Full time

Timings

(2:00p-10:30p

India Business Unit

AWMPO AWMP&S President's Office

Job Family Group

Legal Affairs

  • Legal Lead IND

    1 week ago

    Gurgaon, Haryana, India Ameriprise Financial Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Ameriprise Financial Services LLC has an exciting opportunity for a Legal Affairs Manager position in the General Counsel's Office (GCO) Advice and Wealth Management Practice Group, supporting the company's advisory products and services for retail customers. This position will support the Retail Investment Advice Legal team and will work on cutting edge,...

  • IND Manager

    2 weeks ago

    Gurgaon, Haryana, India Aon Corporation Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    Job Title- IND Manager – Wealth – PA Operations   Work Location- Gurgaon/Bangalore/NoidaShift Time – 12PM to 9PMPeople Manager role: YesGENERAL DESCRIPTION OF ROLE:Lead an operations team of 12+ colleagues which is part of a larger 50+ project team that conducts surveys to collect compensation data from corporate & business firms and used the data to...

  • Legal Manager

    2 days ago

    Gurgaon, Haryana, India Skyway Solution Full time ₹ 4,20,000 - ₹ 6,30,000 per year

    Position: Legal Manager Department: Legal Experience Required: 5–10 years in real estate only CTC: 7 – 8.5 LPA Location: Gurgaon Supporting and managing litigation-related matters To Apply: Contact: HR Sanjna Required Candidate profileDrafting various types of agreement Collaboration,Franchise, Sales Lead and Lead Generation Agreements ...

  • Head - Legal

    2 days ago

    Gurgaon, Haryana, India Kult App Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About KULTKULT is a fast-growing beauty e-commerce platform, building the future of how people discover and shop for beauty. We are looking for a dynamic Head of Legal to lead our legal and compliance function, partner with leadership, and play a key role in shaping the company's growth journey.Role OverviewThe Head of Legal will be responsible for leading...

  • Manager, Legal

    2 weeks ago

    Gurgaon, Haryana, India myGwork - LGBTQ+ Business Community Full time ₹ 5,00,000 - ₹ 8,00,000 per year

    This job is with GLG, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.About The RoleGLG is seeking an experienced commercial lawyer to join the Company's legal department in Gurugram, India. The candidate will be a well-rounded communicator, highly...

  • Manager, Legal

    2 weeks ago

    Gurgaon, Haryana, India GLG Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    About the role: GLG is seeking an experienced commercial lawyer to join the Company's legal department in Gurugram, India. The candidate will be a well-rounded communicator, highly organized, efficient, proactive, impeccably trustworthy, resilient and resourceful. Specific responsibilities include (but are not limited to):Efficiently draft, negotiate and...

  • Manager, Legal

    2 weeks ago

    Gurgaon, Haryana, India GLG Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    About The RoleGLG is seeking an experienced commercial lawyer to join the Company's legal department in Gurugram, India. The candidate will be a well-rounded communicator, highly organized, efficient, proactive, impeccably trustworthy, resilient and resourceful.Specific Responsibilities Include (but Are Not Limited To)Efficiently draft, negotiate and review...

  • Manager, Legal

    2 weeks ago

    Gurgaon, Haryana, India GLG Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About the role:GLG is seeking an experienced commercial lawyer to join the Company's legal department in Gurugram, India.  The candidate will be a well-rounded communicator, highly organized, efficient, proactive, impeccably trustworthy, resilient and resourceful. Specific responsibilities include (but are not limited to):Efficiently draft, negotiate and...

  • IND Consultant II

    2 weeks ago

    Gurgaon, Haryana, India Aon Corporation Full time ₹ 8,00,000 - ₹ 18,00,000 per year

    Job Title- IND Consultant II – Wealth – PA OperationsSolution Line- WealthPosition type- Full Time       Work Location- Gurgaon/Bangalore/ NoidaWorking style- HybridCab Facility- Yes Shift Time – 12PM to 9PMPeople Manager role: NoRequired education and certifications critical for the role- Graduate (Except technical graduates)Required years of...

  • Legal Associate

    4 days ago

    Gurgaon, Haryana, India Settle Loan Full time ₹ 18,00,000 - ₹ 24,00,000 per year

    Job Title:Legal ConsultantLocation:Gurgaon (Sec 29, near Iffco Metro Station) and Green Park, Delhi (near Metro Station)Job Type:Full-timeAbout Us:Save Money Financial Pvt Ltd ) is a leading Legal Tech company that provides debt resolution and financial solutions to individuals. We are seeking highly skilled and motivated Legal Consultants to join our...