Compliance Associate (Distribution)

Ameriprise Financial; City of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment firm in London is seeking an individual to support the Compliance Advisory Team. The role involves providing regulatory advice, reviewing compliance-related materials, and managing compliance projects. Ideal candidates will have experience in a compliance role and be proficient in MS Office products. This permanent position supports a diverse and inclusive workplace with growth opportunities.

Qualifications

• Proven experience in a Compliance function.
• Understanding of Asset management products.
• Ability to handle multiple projects under tight deadlines.

Responsibilities

• Provide regulatory advice related to sales and marketing compliance.
• Review client communications for regulatory compliance.
• Conduct compliance risk assessments and communication.

Skills

Regulatory compliance

Asset management understanding

MS Excel

PowerPoint

Word

Project management

Interpersonal skills

Tools

Seismic

SharePoint

Job description

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.

How you'll spend your time…

Advice

• To 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/promote a culture of compliance, and provide 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, as applicable.
• Assist to develop, maintain, and revise 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 to communications and marketing materials.
• Work on special business or GCO projects, and performs other duties as assigned.

Management Reporting

• To provide input into Compliance management information (MI) and reporting to the Committees and governing bodies;
• To collate and produce Compliance reporting for supported areas.

To be successful in this role you will have…

• Proven experience in a similar role within a Compliance function.
• An 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 managing 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.

Full‑Time/Part‑Time

Full time

Worker Sub Type

Permanent

Job Family Group

Legal Affairs