Overview
In this role you support the EMEA Distribution Compliance Advisory Team to sustain a compliant, efficient framework for cross-border distribution across Europe and Latin America. You’ll advise on regulatory matters, harmonise standards across regions, and partner with Distribution and Product teams to manage risks and enable growth. The position combines regulatory expertise with practical process guidance in a client-centric, collaborative environment. This is an opportunity to influence multi-jurisdictional compliance for a leading asset manager.
Pay / Benefits
- in-office four days per week
- one day remote work per week
- inclusive and equal opportunity environment
Responsibilities
- Provide regulatory advice for cross-border distribution, product-related compliance, and local requirements for EMEA and LatAm offices
- Act as SME for cross-border distribution including private placement exemptions and jurisdiction-specific rules
- Deliver day-to-day compliance support to European and LatAm offices (local obligations, onboarding, regulatory engagement)
- Support harmonisation of compliance standards across EMEA
- Build relationships with business partners and guide Distribution and Product teams on applicable regulations
- Assess compliance risks and communicate improvements to leadership
- Develop, implement and maintain distribution-related policies/procedures
- Stay updated on regulatory developments in Europe and LatAm and translate into practical processes
- Contribute to Distribution employee training programs and materials
- Engage with Distribution teams on new initiatives and assess cross-border impact
- Lead or support compliance projects, regulatory change, MI/reporting, and operating model enhancements
- Collaborate to design and implement controlled processes for Distribution Compliance
- Perform ad-hoc project tasks to support continuous framework improvement
- Create and maintain MI on cross-border activity, private placements, and regulatory status
Key requirements
- Proven experience in Distribution or Regulatory Compliance in asset management or financial services
- Strong knowledge of asset management products, fund structures, and regulatory frameworks (UCITS, AIFMD, MiFID II)
- Deep understanding of cross-border distribution rules for UCITS, AIFs, and financial services (private placements, reverse inquiries, local marketing)
- Excellent MS Excel, PowerPoint, Word; Seismic and/or SharePoint experience preferred
- Ability to manage multiple projects and stakeholders under tight deadlines
- Process-driven and operationally focused
- Strong organisational, teamwork, and interpersonal skills
- relationship-building
- strong communication
- multi-project management
- MS Excel
- PowerPoint
- Word
Distribution Compliance Officer in London employer: Ameriprise Financial
Columbia Threadneedle Investments is an exceptional employer located in Swindon, offering a dynamic work environment that prioritises collaboration and personal growth. With a strong commitment to inclusivity and employee development, we provide ample opportunities for career advancement while maintaining a healthy work-life balance. Our culture fosters innovation and efficiency, making it an ideal place for professionals seeking meaningful and rewarding employment in the financial services sector.
