Posted in Accounting about 7 hours ago.
Type: Full Time
We are searching for an Compliance Manager within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support Global Asset Management Compliance program for Columbia Threadneedle Investments through performance of ongoing compliance monitoring, oversight, and advisory activities. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Columbia Threadneedle is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today!
Key Responsibilities
Assist in development and administration of compliance oversight in the ETF product offering, including both index and actively managed strategies.
Create, maintain, and update regulatory policies, procedures, guidelines, and training.
Create and/or conduct oversight into the ETF lineup and identify/escalate issues to senior management.
Work closely with legal to stay informed of regulatory/industry changes and help create analyses and summary communications.
Partner with other departments and service providers as needed to ensure controls are effectively designed.
Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to colleagues/department leaders and business unit leaders.
Provide compliance guidance to line of business partners designed to expand and enhance the compliance program.
Other duties as assigned, such as ERISA and Advisor Custody Rules.
Required Qualifications
Bachelors degree
5-7 years of relevant experience
Proven success in operations and/or compliance functions. Strong knowledge of financial services industry with a concentration in front, middle or back office functions. Experience in ETF/Indexed product oversight or ETF/Indexed product operations preferred.
Knowledge of SEC, Exchange Listing Standards, and other regulatory requirements.
Strong written and verbal communication skills. Facilitation skills. Ability to prepare and/or present material for senior leaders, with leader support.
Excellent analytical, problem-solving and relationship building skills.
Ability to plan and balance multiple priorities.
Proficient in Microsoft Applications
Preferred Qualifications
Prior experience with middle/back office operations of investment companies and investment advisers.
Past experience working with registered mutual funds with ETF experience a plus.
About Our Company
We're a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Full timeExempt/Non-Exempt
ExemptJob Family Group
Legal AffairsLine of Business
GCO General Counsel's OrganizationPDN-9d417db7-4626-4bed-ada7-df71ff773dfc|
Office of the Massachusetts Attorney General |
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Horizontal Talent |
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Horizontal Talent |