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- Tasks: Support compliance activities in a dynamic team, ensuring regulatory adherence in marketing and product development.
- Company: Join Columbia Threadneedle Investments, a global leader in asset management with a diverse team.
- Benefits: Enjoy career growth, flexible working options, and a supportive, inclusive workplace culture.
- Why this job: Make a real impact by ensuring compliance in innovative financial solutions and client communications.
- Qualifications: Experience in compliance, strong organisational skills, and proficiency in MS Office tools.
- Other info: Collaborate with a global team of 2,500 professionals and access diverse career opportunities.
The predicted salary is between 30000 - 50000 £ per year.
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
- 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, 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, as applicable.
- 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 to 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.
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.
Compliance Associate (Distribution) in London employer: 53412 Columbia Threadneedle (Services) Limited
Contact Detail:
53412 Columbia Threadneedle (Services) Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate (Distribution) in London
✨Tip Number 1
Network like a pro! Reach out to current employees at Columbia Threadneedle Investments on LinkedIn. Ask them about their experiences and any tips they might have for landing a role in the Compliance team. Personal connections can make a huge difference!
✨Tip Number 2
Prepare for your interview by brushing up on compliance regulations relevant to the asset management industry. Show us that you’re not just familiar with the basics, but that you can discuss recent regulatory changes and how they impact the business.
✨Tip Number 3
When you get the chance to meet with the team, be ready to demonstrate your organisational skills. Share examples of how you've managed multiple projects under tight deadlines in the past. We love to see candidates who can juggle tasks effectively!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows us that you’re genuinely interested in being part of our team at Columbia Threadneedle Investments.
We think you need these skills to ace Compliance Associate (Distribution) in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance, especially in distribution. We want to see how your skills align with our needs, so don’t hold back on showcasing relevant achievements!
Showcase Your Regulatory Knowledge: Since this role involves staying updated on regulatory developments, it’s a good idea to mention any specific regulations or compliance frameworks you’re familiar with. This will show us that you’re proactive and knowledgeable about the industry.
Highlight Teamwork Skills: We value collaboration, so be sure to include examples of how you've worked effectively with different teams. Whether it’s marketing or compliance, demonstrating your ability to build relationships will make you stand out.
Apply Through Our Website: We encourage you to submit your application through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at 53412 Columbia Threadneedle (Services) Limited
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory developments and compliance practices, especially those relevant to asset management. Being able to discuss recent changes in regulations will show that you're proactive and knowledgeable.
✨Showcase Your Team Spirit
Since this role involves working closely with various business partners, be ready to share examples of how you've successfully collaborated in the past. Highlight your interpersonal skills and how you foster a culture of compliance within teams.
✨Prepare for Scenario Questions
Expect questions that ask how you'd handle specific compliance scenarios or challenges. Think through potential risks and your approach to mitigating them, as well as how you would communicate these to stakeholders.
✨Demonstrate Your Organisational Skills
With multiple projects and tight deadlines, it's crucial to showcase your organisational abilities. Prepare to discuss how you prioritise tasks and manage your time effectively, perhaps by sharing a specific example from your previous experience.
