Sr Legal Analyst

Description

The General Counsel’s Organization (GCO) & Centralized Supervisory Unit (CSU) team in India, includes the legal, compliance, Supervision functions that support Ameriprise Financial and its subsidiaries. The team plays a major role in mitigating and managing legal, compliance, Supervision risks for the firm.

We are seeking to identify a qualified candidate for a position in GCO for Global Corporate Legal team, intended to provide support to our GCO legal function in the US that is responsible for corporate and securities law. The person is responsible for the following along with any other functions assigned as part of the requirements to meet the larger goal mentioned above:

Role Responsibilities:

The role will focus primarily on legal and regulatory matters relating to ColumbiaThreadneedle Investments’ asset management business and in particular its registered funds, regardless of jurisdiction, offering documents. Specific responsibilities include:

Manage the creation, update and publishing of Columbia Funds (Mutual Funds, Exchange-Traded Funds and Collective Investment Trusts) prospectuses, Statements of Additional Information, Part Cs and Supplements with the use of a prospectus library software.

Draft legal procedures related to mutual fund and certificate compliance programs, including procedures required by SEC Rule 38a-1.

Prepare and review N-CEN regulatory reporting information, ensuring accuracy of fund, sub-adviser, and service-provider disclosures.

Lead the preparation, updates and filings of annual reports and organizational documents of the mutual funds with the various states of incorporation.

Lead legal work pertaining to new product launches, mergers and liquidations.

Work with the Accounting, Performance, Compliance, Tax, Transfer Agent, Financial Reporting, Product and Portfolio management teams, and outside law firms during prospectus/SAI review and updates.

Prepare and review legal vendor invoice processing, including ArcPro and non-ArcPro invoices, fund expense coordination, payment support, and tracking of filing-related expenses.

Key Capabilities:

Essential: DFIN ArcPro. Applied knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940 and state laws. Research Skills.Mature, professional demeanor. Strong attention to detail, organization, and ability to successfully manage several ongoing assignments. Ability to work independently and proactively to multi-task and demonstrate a strong sense of urgency. Dedicated team player who can thrive in a global, dynamic and team-oriented environment.

Desirable:

experience working within a global financial services or asset management company

experience with and understanding of the general framework of asset management products and services, ideally within Europe and globally

experience working with disclosure documents generally

Required Qualifications

2-5 years of experience in Asset Management, Mutual Funds, Investment Management, Fund Governance, Legal, Compliance, or Regulatory Reporting.

Experience supporting U.S. registered investment companies (Mutual Funds, ETFs, Variable Products).

Experience working with SEC regulatory filings and disclosure documents.

Experience coordinating with multiple business stakeholders and external counsel.

Experience with publicly traded companies and/or M&A activities (fund mergers, reorganizations, liquidations) would be an advantage.

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least three (3) days per week, with flexibility to work from home two (2) days per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process

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