At a Glance
- Tasks: Support compliance for cross-border distribution and advise on regulatory matters.
- Company: Leading asset manager with a focus on compliance and collaboration.
- Benefits: In-office four days, one day remote, inclusive environment, and growth opportunities.
- Other info: Engage in exciting projects and develop your skills in a supportive environment.
- Why this job: Influence multi-jurisdictional compliance and work in a dynamic, client-centric team.
- Qualifications: Experience in Distribution or Regulatory Compliance in financial services required.
The predicted salary is between 63000 - 77000 £ per year.
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 Lat Am 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 Lat Am 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 Lat Am 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, Mi FID II)
- Deep understanding of cross-border distribution rules for UCITS, AIFs, and financial services (private placements, reverse inquiries, local marketing)
- Excellent MS Excel, Power Point, Word; Seismic and/or Share Point 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
- Power Point
- 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.
StudySmarter Expert Advice🤫
We think this is how you could land Distribution Compliance Officer in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ameriprise Financial looking for candidates who are engaged and informed.
We think you need these skills to ace Distribution Compliance Officer in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ameriprise Financial. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ameriprise Financial
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ameriprise Financial’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
