Compliance Officer - EMEA Compliance Officer - EMEA …

in Frankfurt am Main, Hessen, Deutschland
Festanstellung, Vollzeit
Letzte Bewerbung, 22 Nov 20
in Frankfurt am Main, Hessen, Deutschland
Festanstellung, Vollzeit
Letzte Bewerbung, 22 Nov 20
Compliance Officer - EMEA
Job Description

Where you'll fit in & what our team goals are....

In this role you will be part of the Distribution Advisory team. The Distribution Advisory team primarily partner with the Columbia Threadneedle Investments Distribution Team focusing on three core areas, Product, Marketing and Sales. In this role you will support all three areas and it is anticipated that there will be a focus on Product development/management and Sales. We are open to hiring this opportunity in Italy (Milan), Germany (Frankfurt) or Luxembourg.


How you'll spend your time....
• Supporting the development of the global asset management business
• Embed greater customer focus
• Successful management and implementation of regulatory change
• Oversight of business change (new products and services)

Advice and analysis
• Provide timely, solutions driven regulatory advice and challenge to the Columbia Threadneedle Investments Distribution Activity
• Provide advice on Financial Promotion rules, approve or provide regulatory input into marketing material
• Periodic review of the Columbia Threadneedle investments EMEA Regulatory Change Framework
• Liaise with Columbia Threadneedle Investments North America and Asian teams to advise on regulatory issues and support the wider Columbia Threadneedle Investment's business
• General compliance function for the German office (policies, regular training of staff, etc)

• Assist in agreeing a Compliance training plan with the relevant business heads;
• Prepare training/preparation for regulatory visits in Italy or Spain.

Management Reporting
• Assist in providing input into Compliance Management Information and reporting to the Client and Distribution Services Committee and other governing body;
• To collate and produce Compliance reporting for supported areas.

Product development
• Assist with the launch of new products

Required Qualifications

To be successful in this role you will have....
• An ability to communicate effectively with both business colleagues and collaborate effectively across business areas and jurisdictions and establish a relationship as a Trusted Adviser
• Prior experience of working within the asset management industry
• A good understanding of the CONSOB's/ CNMV's processes and procedures ideally as they impact an asset management firm and financial promotion
• An understanding of the upcoming regulatory change programme as it relates to the distribution activities of Asset Managers and the CONSOB's/ CNMV's approach to the regulation of Asset Managers
• An attitude focusing on the end customers and partners of the Columbia Threadneedle Investments business
• Languages: Fluent in English, Italian and Spanish

Preferred Qualifications

If you also had this, it would be great....
  • Prior experience in working in a sales/distribution environment as a compliance SME
  • Experience in the asset management industry
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