Senior Counsel

Ameriprise Financial Services, LLC

. Serve as a trusted legal partner supporting managed accounts, financial planning, investment research, portfolio management, and related advisory solutions .

Posted 10/20/2026full-timeUnited StatesSenior💰 $150,000 - $225,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong expertise in legal and regulatory matters affecting retail advisory businesses, with a focus on providing practical, risk-based legal advice. Possesses the ability to influence stakeholders and develop strong relationships while supporting compliance and governance initiatives.

Highest-signal resume keywords

Juris Doctor DegreeInvestment Adviser's Act Of 19405+ Years Experience In Financial ServicesExperience Supporting SEC And FINRA ExaminationsKnowledge Of ERISA Requirements

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Legal ResearchRegulatory ComplianceRisk ManagementAdvisory Program DevelopmentContract DraftingRegulatory Risk MitigationStrategic Legal AdvicePortfolio Management SupportClient-Facing Material DevelopmentAdvisory Solutions Governance

Soft Skills

Excellent CommunicationRelationship ManagementCollaboration SkillsStrong JudgmentAnalytical CapabilitiesProblem-Solving Skills

Certifications & Qualifications

Admitted To Practice Law In MinnesotaAdmitted To Practice Law In North CarolinaEligible For In-House Counsel Admission

Industry Keywords

Financial ServicesRetail AdvisoryComplianceInvestment ManagementRegulation Best InterestFINRA RulesSelf-Regulatory Organization RulesManaged Account PlatformsDual Registrant Business ModelsEmerging Legal Developments

About the role

Key responsibilities & impact

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
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
Conduct legal research and benchmark industry practices
Support regulatory examinations, inquiries, and interactions with regulators, outside counsel, and industry organizations

Requirements

What you’ll need

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, Regulation Best Interest, 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
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
Valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States

Benefits

Comp & perks

Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role
Competitive and comprehensive benefits program
Vacation time
Sick time
401(k)
Health insurance
Dental insurance
Life insurance
Flexibility to work from home one day per week
Reasonable accommodation support during recruitment for individuals with disabilities