Regulatory Legal Lead - Retail Investment Advisory
Ameriprise Financial
Ameriprise Financial seeks a Legal Affairs Manager in the General Counsel's Office to support the Advice and Wealth Management Practice Group. You'll advise on retail investment products, draft disclosures, and ensure regulatory compliance across filings and agreements, collaborating with Compliance and business partners. This full-time role requires strong research, analytical skills, and paralegal or JD credentials. #J-18808-Ljbffr Ameriprise Financial
- Ameriprise Financial Services, LLC is seeking a Legal Affairs Manager to support the Retail Investment Advice Legal team within the GCO Advice and Wealth Management Practice Group. The role focuses on regulatory matters under federal securities laws for retail investment...LegalRegulatoryWork at officeRemote work
$181.73k - $213.8k
...DescriptionCorporate Banking Portfolio Management Team Lead (PMTL) provides leadership and oversight... ....Maintain compliance with bank policies, regulatory requirements, CRA obligations, and... ..., Risk Management, Operations, Legal, Compliance, and senior leadership to support...LegalRegulatoryFull timeLocal area3 days per week$105k - $140k
Senior/Lead Analyst, Private Credit Operations Minneapolis... ...identify exceptional investment opportunities on behalf of institutional and retail clients worldwide. We... ..., fund services, legal and compliance and information... .... Stay abreast of regulatory requirements and understand...LegalRegulatoryLocal areaRemote workWorldwide$99k - $176k
...RBC! We are seeking a Lead Product Manager who will... ...equity strategies and investment vehicles.Reporting up... ...closely with legal, compliance, operations... ...competitive landscape, regulatory environment, industry... ...intermediary, RIA and sub-advisory — with a clear understanding...LegalRegulatoryFull timeFlexible hours$158.31k - $193.49k
...Day One.Job DescriptionThe Healthcare Revenue Cycle Advisory and Solution Engineering Team Lead reports to the PMI Healthcare Head and operates as a... ...and revenue cycle innovation. Monitor industry trends, regulatory developments, technology advancements, and emerging healthcare...RegulatoryFull timeLocal area$41.71k - $69k
...Retail Banking Sales & ServiceDelivers exceptional service to... ...business objectives.Takes a lead in proactively engaging with... ...g. everyday banking, retail investments, lending solutions, home financing... ...in compliance with legal and regulatory requirements and lending policies...LegalRegulatoryContract workPart timeLocal areaImmediate startDay shift$73.5k - $129.1k
..., Columbia Threadneedle Investments and RiverSource Insurance... ...opportunity for a legal affairs manager position... ...supporting the company’s advisory products and services for retail customers. This position... ...services and to address regulatory changes.Prepare and file...LegalRegulatoryFull timeH1bWork at officeWork from homeVisa sponsorship1 day per week$155.6k - $306.8k
...end-to-end support and advisory services, covering... ...D) practice, you will lead teams through high-stakes... ...strategy, validate the investment thesis, and improve... ...issues brought on by regulatory changes, competition,... ...detailed description of the legal structure of Deloitte...LegalRegulatoryOdd jobWork experience placementLocal area$130k - $170k
...of external asset managers, investment managers, fund sponsors, and... ...audited financial statements, regulatory filings, SOC reports, compliance... ...Collaborate with investment, legal, compliance, risk, and... ...operational due diligence, risk advisory, or financial services auditing...LegalRegulatoryFull timeTemporary work$170.26k - $200.3k
...Funds is responsible for leading the enterprise-facing,... ...program, registered investment company compliance... ...service provider oversight, regulatory change, and compliance... ...Corporate Compliance, Legal, Risk, Internal Audit,... ...retention.Strategic advisory and transformation...LegalRegulatoryFull timeLocal area$189.2k - $372.9k
...end-to-end support and advisory services, covering... ...Private Equity (PE), leading fast-paced diligences... ...strategy, validate the investment thesis, and improve odds... ...issues brought on by regulatory changes, competition,... ...detailed description of the legal structure of Deloitte...LegalRegulatoryOdd jobWork experience placementLocal area- ...Wells Fargo is seeking a Lead Wealth Underwriter in... ...within Wealth & Investment Management (WIM). As part... ...Credit Banker in a client advisory role and in credit... ...veteran, or any other legally protected characteristic... ...Crimes, Operational, Regulatory Compliance), which includes...RegulatoryFull timeWork experience placementWork at office
$150k - $206.3k
...Columbia Threadneedle Investments and RiverSource Insurance... ...is responsible for leading the centralized risk team... ..., with a focus on regulatory reporting, controls, committee... ...Audit, Compliance, Legal, and regulators,... ...QualificationsExperience with advisory products, investment...LegalRegulatoryFull timeContract workH1bWork at officeWork from homeVisa sponsorship1 day per week$67.95k - $136.38k
...relationshipsAbility to lead projects or... ...external or internal audit, advisory, or a technology-focused... ...Familiarity with the AI regulatory landscape - including... ...well as through our own investments, commitments, and... ...detailed description of the legal structure of Deloitte...LegalRegulatoryInternshipWork at officeLocal areaVisa sponsorship- A financial advisory firm in Minneapolis is seeking a Compliance Officer to manage their compliance program across advisory and private... ...of SEC regulations. Responsibilities include overseeing regulatory filings, supporting SEC examinations, and ensuring effective compliance...Regulatory
- ...Fargo is seeking a Senior Lead Commercial Banking... ...Manager for the ESOP Advisory Team as part of the Commercial... ...or personal investing; affected employees will... ...veteran, or any other legally protected characteristic... ...Crimes, Operational, Regulatory Compliance), which includes...RegulatoryFull timeWork experience placement
- ...remote-first company seeking an Analytics Lead for Compliance Shared Services to own the... ...multi-product lending business. You translate regulatory obligations into data checks and guide a junior analyst while partnering with Legal, Engineering, Product, Internal Audit, and...LegalRegulatoryRemote job
- ...shows up, stands together, and leads with purpose. OverviewRole... ...accordance with any statutory, regulatory and ethical requirements within... ...Food Borne Illness, restaurant/retail/warehouse.Jurisdictional Experience... ...as well as the insurance legal and regulatory environment#LI-...LegalRegulatoryLocal areaRemote work
$102.8k - $176k
We are the leading provider of professional services... ...engagements into comprehensive advisory partnerships. This... ...risk priorities, regulatory obligations, cyber maturity... ...roadmaps to justify investment. Forecast and manage... ..., compliance, legal, finance, internal audit...LegalRegulatoryFull timeContract workWork experience placementInternshipWork at officeLocal area- ...strategy to commercialization, ensuring labeling accuracy and regulatory compliance. You will lead regulatory programs, review ingredient specifications... ...labeling for consumer-packaged foods, and partner with legal and key stakeholders to implement guidance #J-18808-...LegalRegulatory
$172.5k - $225k
Circle (NYSE: CRCL) is one of the world’s leading internet financial platform companies,... ...Business, Engineering, Data, Treasury, Legal, and Policy teams as we explore potential... ...Legal, Policy, and Treasury teams to ensure regulatory alignment and financial soundness.Engage...LegalRegulatoryFlexible hours$105.4k - $207.8k
...Consultant and ServiceNow Platform Lead within our Finance... ...Will Do Platform Architecture & Advisory Serve as the ServiceNow subject... ..., as well as through our own investments, commitments, and actions across... ...detailed description of the legal structure of Deloitte LLP and...LegalLocal areaVisa sponsorship$171.6k - $338.3k
...end-to-end support and advisory services, covering... ...relationships• Ability to lead projects or... ...navigating complex growth, investment and divestiture scenarios... ...issues brought on by regulatory changes, competition,... ...detailed description of the legal structure of Deloitte...LegalRegulatoryLocal areaVisa sponsorship- About this role:Wells Fargo is seeking a Lead Credit Product Portfolio Specialist within... ...success partnering across credit, risk, legal, and operations to drive deal execution.Executive... ..., Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively...LegalRegulatoryFull timeWork experience placementInterim roleWork at officeFree visa
- ...seeking a Credit Resolution Associate to lead the evaluation and resolution of complex... ...Credit Resolution policies, procedures, and regulatory requirements.Partner with Credit... ...agreements, intercreditor agreements, and related legal documents.Strong analytical and problem-...LegalRegulatoryFull timeWork experience placementWork at officeRelocation package
- ...Lead Compliance Consultant, Privacy and Responsible AIWorking at... ...more about Target here.Target Legal Affairs is a dynamic and deeply... ...face in a dynamic and fast-paced retail environment.A role in... ...fast-evolving AI and privacy regulatory obligations and industry standards...LegalRegulatoryWork at officeFlexible hours
- ...industry-focused wealth advisory, digital, audit, tax,... ...for manager meetings, investment conferences, and due... ...investment platforms.This role leads comprehensive... ...activities comply with regulatory, fiduciary, and internal... ...operations, legal review, or fund structuring...LegalRegulatoryFull timeWork at office
- ...Wells Fargo is seeking a Lead Wealth Underwriter in... ...within Wealth & Investment Management (WIM). As part... ...facing professionals in an advisory capacity,... ...Independent Risk Management, Legal, Operations, and other... ...and comply with ongoing regulatory obligations, which include...LegalRegulatoryFull timeWork experience placement
$100k - $115k
...Columbia Threadneedle Investments and RiverSource... ..., technology, legal, compliance, marketing... ...on the Advisory PlatformHelp maintain... ...and procedures of retail-oriented investment... ...selected candidate will lead through influence,... ...stay current with regulatory requirements and best...LegalRegulatoryFull timeWork experience placementH1bWork at officeWork from homeVisa sponsorship1 day per week- Accenture is a leading solutions and services company... ...platforms to help retail energy and utility providers... ..., building trusted advisory relationships and ensuring... ...on industry trends, regulatory changes, and... ...consistent with the Company's legal duty to furnish information...LegalRegulatoryFull timeWork experience placementLive inWork at officeLocal area
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