Compliance Officer - Frankfurt
Job Purpose Statement
Where you'll fit in & what our team goals are...
The Columbia Threadneedle Investments EMEA region Compliance department is part of the Columbia Threadneedle General Counsel's Office (GCO) and is responsible for the oversight of compliance with regulatory requirements and standards within EMEA and for the sale of EMEA domiciled products and strategies globally (with support from colleagues in Asia and North America). Columbia Threadneedle Investments EMEA region comprises a significant London presence, Luxembourg domiciled funds, with Sales offices in various European cities and an expanding presence globally.
In this role you will take the lead on Compliance for Distribution and all regulatory advice related to the local market and supporting the team in selling and marketing their products. You will liaise with Columbia Threadneedle Investments EMEA, North America and Asian teams to advise on regulatory issues and support the wider Columbia Threadneedle Investment's business, so you must have previously worked within a similar role in the Asset Management industry or have an understanding of how the distribution of financial products works across borders to enable you to provide the expertise they require. Role Responsibilities How you'll spend your time...
- Assist with financial crime compliance activities, including potential locl MRLO opportunities
- General compliance function for the German office policies, regular training of staff, etc
- Provide timely, solutions driven regulatory advice and challenge to the Columbia Threadneedle Investments activities especially in Northern Europe
- Provide advice on approve or provide regulatory input into marketing material
- Liaison with the relevant regulators especially BaFIN
- Provide compliance support to Columbia Threadneedle investments EMEA European offices with a specific focus on Northern Europe
- Periodic review of the Columbia Threadneedle investments EMEA Regulatory Change Framework
- Assist the London and Luxembourg teams with Product Governance, including participating in the product development process.
- Liaise with Columbia Threadneedle Investments North America and Asian teams to advise on regulatory issues and support the wider Columbia Threadneedle Investment's business
- Assist in agreeing a Compliance training plan with the relevant business heads
- Assist in providing input into Compliance Management Information and reporting to the Client and Distribution Services Committee and other governing body
X About Columbia Threadneedle Investments What working at Columbia Threadneedle offers.....
You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority.
Here, 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 2,000 people working together. Our expertise is diverse with more than 450 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.