Ameriprise Financial Services, LLCGurugram, Haryana, IndiaHybridFull-time2–5 years
Listing expiry: 20 October 2026
About the role
Role Overview
The role supports the Global Corporate Legal team within the General Counsel’s Organization, providing legal and regulatory support for Columbia Threadneedle Investments’ asset management business, particularly its registered funds. Responsibilities include preparing and maintaining fund disclosure documents, regulatory reporting, corporate filings, product launches, mergers and liquidations, and coordinating with internal business teams and external counsel.
Key Responsibilities
- Manage the creation, updating, and publication of prospectuses, Statements of Additional Information, Part Cs, and supplements for mutual funds, exchange-traded funds, and collective investment trusts using prospectus library software.
- Draft legal procedures for mutual fund and certificate compliance programs, including procedures required under SEC Rule 38a-1.
- Prepare and review N-CEN regulatory reporting information to ensure accurate fund, sub-adviser, and service-provider disclosures.
- Lead the preparation, updating, and filing of mutual funds’ annual reports and organisational documents with their respective states of incorporation.
- Lead legal work relating to new product launches, mergers, and liquidations.
- Coordinate with Accounting, Performance, Compliance, Tax, Transfer Agent, Financial Reporting, Product, Portfolio Management, and external law firms on prospectus and SAI reviews and updates.
- Prepare and review legal vendor invoices, including ArcPro and non-ArcPro invoices, coordinate fund expenses, support payments, and track filing-related expenses.
Qualifications & Experience
- Two to five years of experience in asset management, mutual funds, investment management, fund governance, legal, compliance, or regulatory reporting.
- Experience supporting US-registered investment companies, including mutual funds, ETFs, or variable products.
- Experience working with SEC regulatory filings and disclosure documents.
- Experience coordinating with multiple business stakeholders and external counsel.
- Essential capability: experience with DFIN ArcPro.
- Applied knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and state laws.
- Strong research skills, attention to detail, organisation, and ability to manage several assignments concurrently.
- Ability to work independently and proactively, multitask, and demonstrate urgency.
- Professional demeanour and ability to contribute effectively in a global, dynamic, team-oriented environment.
Additional Details
- Experience in a global financial services or asset management company is desirable.
- Understanding of asset management products and services, ideally in Europe and globally, is desirable.
- Experience working with disclosure documents is desirable.
- Experience with publicly traded companies or mergers and acquisitions, including fund mergers, reorganisations, and liquidations, is an advantage.
- The role is full-time, with working hours from 2:00 p.m. to 10:30 p.m.
- Employees are expected to work in the office at least three days per week, with flexibility to work from home two days per week. Some roles may require additional or different in-office attendance.