Ameriprise Financial Services, LLC · 2 months ago
Counsel-Trading & Regulatory Derivatives and Financial Products
Charlotte, North Carolina
Full-time
Hybrid
Mid, Senior Level
$108K/yr - $186K/yr
5+ years expAmeriprise Financial Services, LLC is a diversified financial services leader with a focus on advising, managing, and protecting assets for clients. They are seeking a highly skilled attorney to join their Legal Department, specializing in trading documentation and U.S. financial regulation, to support the firm’s trading activities across various financial products.
CommercialConstructionProperty ManagementReal EstateResidential
Responsibilities
Draft, negotiate, and review trading agreements including:
ISDA Master Agreements and Credit Support Annexes (CSAs)
Master Securities Forward Transaction Agreements (MSFTAs)
Futures and options clearing agreements
Prime brokerage, repurchase agreements (MRAs/GMRAs) and securities lending agreements (GMSLAs)
Execution agreements
Coordinate with internal stakeholders (trading, risk, compliance, operations) and external counterparties to ensure timely execution and alignment with firm policies
Ensure trading agreements are compliant with the regulatory and legal framework applicable to a particular client type and jurisdiction
Advise on U.S. regulatory requirements impacting trading activities, including:
Dodd-Frank Title VII (swap dealer rules, margin requirements)
SEC and CFTC regulations
EMIR, UMR (including initial and variation margin rules) and other cross-border regulatory frameworks as applicable
Monitor regulatory developments and assess impact on trading documentation and practices within the U.S as well as their cross-jurisdictional scope and implication
Support onboarding of clients with counterparty banks and ensure sufficient number of counterparties for launch
Review netting and collateral enforceability opinions
Ensure compliance with key regulatory developments in the derivatives, repurchase transactions and trading space
Ensure documentation aligns with internal risk policies, regulatory obligations and client-type specific requirements
Provide legal input on new product launches and trading strategies
Maintain and update legal templates, playbooks, and negotiation guidelines
Participate in internal training and knowledge-sharing initiatives
Qualification
Required
Juris Doctor (JD) from an accredited law school; active bar membership in good standing
Minimum 5–8 years of experience in a law firm or in-house legal department at a financial institution
Deep understanding of derivatives and trading documentation, including ISDA, MSFTA, and futures/options agreements/OTC clearing addendums
Strong knowledge of U.S. financial regulatory landscape (SEC, CFTC, Dodd-Frank)
Excellent negotiation, drafting, and communication skills
Ability to manage multiple complex transactions and work collaboratively across teams
Experience with fund structures and cross-border documentation is a plus
Preferred
Familiarity with collateral mechanics, margin rules, and netting provisions
Experience with trading platforms and contract lifecycle management tools
Having knowledge of or exposure to regulatory considerations in relation to cross border transactions is a plus
Benefits
Vacation time
Sick time
401(k)
Health, dental and life insurances
Company
Ameriprise Financial Services, LLC
At Ameriprise Financial, we have been helping people feel more confident about their financial future for 130 years.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Angela Grabovsky, CFP®, CRPC®, MBA, APMA®
Private Wealth Advisor, Chief Executive Officer
Anthony C. Barone
Chief Executive Officer,Financial Advisor- The Barone Financial Consulting Group
Recent News
2025-10-03
2025-10-02
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