At a Glance
- Tasks: Support compliance activities for distribution across Europe and Latin America.
- Company: Join a global investment firm focused on growth and collaboration.
- Benefits: Competitive salary, flexible working, and opportunities for career development.
- Other info: Inclusive culture with a focus on work-life balance and personal growth.
- Why this job: Make a real impact in a dynamic compliance role with international reach.
- Qualifications: Experience in regulatory compliance and strong knowledge of asset management products.
The predicted salary is between 49500 - 60500 £ per year.
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 River Source 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 Advisory Team for Columbia Threadneedle Investments, part of Ameriprise Financial.
In this role, you will contribute to a dynamic, multi‑jurisdictional compliance framework that supports the firm’s distribution activities across Europe and Latin America, with a focus on cross‑border distribution of UCITS, AIFs and financial services, as well as local Compliance obligations of our regional distribution offices.
You will play a key role in ensuring our distribution activities remain compliant, well‑controlled and commercially aligned by providing practical regulatory advice, supporting local offices with their day‑to‑day obligations, and contributing to the harmonisation of compliance standards across regions.
How you'll spend your time...
- Advice
- Support the business growth priorities, through efficient, solutions-oriented Compliance support.
- Provide regulatory advice primarily for matters related to cross‑border distribution, product‑related compliance, and local regulatory requirements for the EMEA and Lat Am distribution offices
- Act as a subject‑matter expert for cross‑border distribution across Europe and Latin America, including private placement exemptions, reverse inquiry frameworks and jurisdiction‑specific rules.
- Provide day to day compliance support to the European and Lat Am distribution offices, including local regulatory obligations, onsite requirements and regulatory engagement.
- Support the integration and harmonisation of compliance standards across EMEA.
- Build strong relationships with business partners and promote a culture of compliance, offering clear and practical guidance to Distribution and Product teams on applicable 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, implement and maintain policies and procedures relating to distribution activities
- Regulatory Analysis
- Stay up to date on regulatory developments and industry changes in Europe and Lat Am
- Translate regulatory developments into practical, controlled processes within the Distribution Compliance framework
- Training
- Contribute to the development/improvement, maintenance and implementation of Distribution employee training program and materials.
- Projects
- Contribute to compliance-related components of new market entries, product launches, Company changes impacting licenses, and strategic growth initiatives across EMEA and Lat Am ensuring regulatory requirements are embedded early and thoroughly.
- Engage proactively with Distribution teams to understand new initiatives, provide forward‑looking compliance guidance, and assess impacts on cross‑border distribution processes, policies and controls.
- Lead or support targeted compliance and enterprise-wide projects, including regulatory change implementation, process optimisation, standardisation of MI and reporting, and enhancements to the Distribution Compliance operating model.
- Collaborate with internal stakeholders to design, document, and implement controlled processes linked to Distribution Compliance activities
- Perform additional project-related tasks and responsibilities as required to support the efficient functioning and continuous improvement of the compliance framework
- Management Reporting
- Create, maintain and enhance management information (MI) across areas such as cross border activity, private placements, reverse inquiries, regulatory reporting status, and training completion.
- To collate and produce Compliance reporting for supported areas.
To be successful in this role you will have...
- Proven experience in Distribution or Regulatory Compliance, ideally within an asset manager or a financial‑services environment covering cross‑border distribution activities.
- Strong knowledge of asset management products, fund structures, and their regulatory frameworks (UCITS, AIFMD, Mi FID II).
- Deep understanding of cross‑border distribution rules for UCITS, AIFs and financial services, including private placement regimes, reverse inquiry frameworks and local marketing requirements
- Excellent knowledge of MS Excel, Power Point, and Word; experience with Seismic and/or Share Point 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.
- In-Office Collaboration
We are a client-centric, relationship-based business.
Working together, in-person, is foundational to how we achieve results.
By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders.
Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week.
Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
- 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.
Distribution Compliance Officer in London employer: ameriprise
Columbia Threadneedle Investments is an exceptional employer that prioritises employee growth and community engagement, making it a rewarding place to work. With a strong focus on collaboration and inclusivity, employees benefit from diverse career opportunities and a supportive work culture that values personal contributions. Located in a vibrant environment, the role of Personal Assistant and Community Relations Executive offers a unique chance to blend high-level administrative support with impactful community initiatives, ensuring a meaningful and fulfilling experience.
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 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. 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
✨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’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
