Compliance Associate (Distribution)

Columbia Threadneedle Management Limited; City of London; On-site; GBP 45,000 - 60,000; Full time

Job summary

A leading investment management firm is seeking a Compliance Associate to support day-to-day activities of the Compliance Advisory Team, specializing in distribution. The role involves providing regulatory advice, reviewing client communications, and ensuring compliance with applicable regulations. Candidates should have experience in a compliance function and knowledge of asset management products. If interested, please inquire about flexible working requirements.

Qualifications

• Proven experience in a similar role within a Compliance function.
• Understanding of asset managers and asset management products.
• Ability to work effectively on multiple projects under tight deadlines.

Responsibilities

• Provide regulatory advice and support to the business.
• Review client communications and marketing materials for compliance.
• Stay up to date on regulatory developments.

Skills

Regulatory advice

MS Excel

PowerPoint

Word

Seismic experience

SharePoint

Organisational skills

Interpersonal skills

Job description

Join to apply for the Compliance Associate (Distribution) role at Columbia Threadneedle Investments

Where you’ll fit in & what our team goals are…

We are looking for a talented individual to support day-to-day activities of the EMEA Distribution Compliance Team for Columbia Threadneedle Investments, part of Ameriprise Financial. In this role, you will support the day-to-day activities of the Compliance Advisory Team, specialising in the world of Distribution.

Responsibilities

Advice

• Provide regulatory advice and support to the business primarily for matters related to sales, marketing and product development/management compliance.
• Review client communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies.
• Establish and maintain good relationships with business partners and foster a culture of compliance, providing guidance to marketing relating to applicable rules and regulations.
• Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders.
• Assist in developing, maintaining, and revising policies and procedures of the compliance framework and its related activities.

Regulatory Analysis

• Stay up to date on regulatory developments and industry changes both in the UK and wider Europe.
• Work collaboratively with multiple business partners to gain a thorough understanding of our asset management products and business strategy and plans.
• Prepare and issue regulatory analysis, drawing out issues and developments affecting Columbia Threadneedle Investments.

Training

• Contribute to the development, improvement, maintenance and implementation of business unit procedures and employee training materials.

Projects

• Attend meetings and hold ad‑hoc discussions with Distribution and Marketing to understand new initiatives, offer compliance guidance, and determine the potential impact on communications and marketing materials.
• Work on special business or GCO projects, and perform other duties as assigned.

Management Reporting

• Provide input into Compliance management information (MI) and reporting to the Committees and governing bodies.
• Collate and produce Compliance reporting for supported areas.

Qualifications

• Proven experience in a similar role within a Compliance function.
• Understanding of asset managers and asset management products.
• Excellent knowledge of MS Excel, PowerPoint, and Word; experience with Seismic and/or SharePoint preferred.
• Ability to work effectively on multiple projects under tight deadlines and manage multiple stakeholders simultaneously.
• Process‑driven and operationally focused.
• Demonstrable organisational skills and strong team‑working and interpersonal skills.

About Columbia Threadneedle Investments

Working at Columbia Threadneedle Investments you'll find growth and career opportunities across all of our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,500 people working together. Our expertise is diverse with more than 650 investment professionals sharing global perspectives across all major asset classes and markets. Our clients have access to a broad array of investment strategies, and we have the capability to create bespoke solutions matched to clients' specific requirements.

Columbia Threadneedle is a people business and we recognise that our success is due to our talented people, who bring diversity of thought, complementary skills and capabilities. We are committed to providing an inclusive workplace that supports the diversity of our employees and reflects our broader communities and client‑base.

We appreciate that work‑life balance is an important factor for many when considering their next move so please discuss any flexible working requirements directly with your recruiter.