Job Information
Ameriprise Financial Compliance Associate (Distribution) in London, United Kingdom
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 2,300 people working together. Our capability is diverse with more than 550 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. Our unwavering focus on our clients and strong financial foundation connects each of our enterprise businesses — Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities.
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.
Full-Time/Part-Time
Full time
Worker Sub Type
Permanent
Job Family Group
Legal Affairs
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 fostering an inclusive and performance-based culture where everyone can belong, grow, contribute and realise their potential.
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.
Columbia Threadneedle Investments is an equal opportunity employer. We consider all qualified applicants without regard to racial or ethnic background, religion or belief, sex or gender, nationality, genetic information, age, sexual orientation, gender identity, disability, marital status, pregnancy or maternity or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to aid your participation in the application or interview process, speak to your recruiter to discuss how we can support you.