Senior Counsel-Corporate & Securities Laws

This position plays a key role in supporting the Corporate Secretary’s Office and the Board of Directors and related corporate governance, securities and public company matters, and ensures compliance with regulatory expectations and responsibilities of public company boards.

Key Responsibilities

• Ensure compliance with public company reporting and NYSE listing requirements, including performing a key role in the preparation of certain sections of the proxy statement and proxy material.

• Ensure compliance with rules and regulations related to corporate governance and company initiatives (e.g., dividends, acquisitions, dissolutions, etc.).

• Ensure compliance with insider trading and Section 16 and Rule 144 filing processes.

• Support shareholder engagement matters and shareholder-related matters and perform research relating to various corporate governance issues including shareholder proposals

• Stay abreast of governance trends and regulatory developments and reviewing and updating as necessary the firm’s governance documents, policies and guidelines. Conduct legal research on corporate governance issues and executive compensation trends and disclosure.

• Lead a team of governance specialists including paraprofessionals and director of board operations.

Support Corporate Governance Processes for both holding company and subsidiaries, including:

• Key activities for board and committee meetings, including preparation of resolutions and board materials, as needed, and preparation and review of minutes.

• Internal corporate records, including subsidiary articles, bylaws, resolutions, meeting agendas and materials.

• Manage governance relating to executive compensation matters, including incentive plans and programs, equity administration and related public company disclosure considerations.

• Participate in the development of corporate governance policies and programs including preparation, implementation and refinement of policies and processes.

Required Qualifications

• Law Degree from an Accredited Law School with 7-10 years of experience as a practicing lawyer.

• Significant experience with and knowledge of all aspects of corporate and federal securities laws and requirements applicable to a public company, preferably in the financial services industry.

• Ability to influence, gain credibility and develop strong working relationships with business partners and external constituencies.

• Ability to organize, plan, manage and implement large and ongoing projects, with competing priorities and deadlines.

• Excellent written, verbal and interpersonal communication skills, attention to detail, and the ability to draft and interpret sophisticated agreements and plans.

• Highly organized with ability to work both independently and in cross-functional teams.

• Ability to communicate results to appropriate audiences and suggest risk assessed alternative courses of action.

• Ability to monitor and analyze developments and trends in areas of responsibility and master new bodies of legal knowledge as regulations and business objectives evolve.

• Admitted to practice law in the state of Minnesota, Massachusetts, North Carolina or eligible for admission as in-house counsel.

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.