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). It 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), and EMEA and US domiciled products and strategies within EMEA. Columbia Threadneedle Investments EMEA region comprises a significant London presence, Luxembourg, Ireland and UK domiciled funds, with Sales offices in various European cities and an expanding presence globally.
How you'll spend your time...
Advice and analysis:
- Lead compliance oversight function for the Netherlands office (policies, regular training of staff organisation, compliance programme)
- Provide timely, solutions driven regulatory advice and challenge to the Columbia Threadneedle Investments activities
- Provide advice on approve or provide regulatory input into marketing material
- Liaison with the relevant regulators especially AFM and DNB
- Provide compliance support to Columbia Threadneedle investments EMEA European offices
- Periodic review of the Columbia Threadneedle investments EMEA Regulatory Change Framework
- Regulatory change implementation
- Liaise with Columbia Threadneedle Investments North America and Asian teams to advise on regulatory issues and support the wider Columbia Threadneedle Investment’s business
Registered functions:
- Registered Compliance Oversight officer in Netherlands
- Providing line manager support and leadership to existing NL compliance personnel
Training:
- Assist in developing and providing a yearly Compliance MiFID training plan
- Prepare training/preparation for regulatory visits
Management Reporting:
- Assist in providing input into Compliance Management Information and reporting to the CDSC, BODC NL Daily Board and other governing bodies
- To collate and produce Compliance reporting for supported areas
Product Development:
- Assist with the launch of new products
To be successful in this role you will have...
- Fluent in Dutch (written and spoken)
- Fluent in English (written and spoken)
- Good understanding of MiFID regulations
- An ability to communicate effectively with both business colleagues, the GCO 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 regulators processes and procedures ideally as they impact an asset management firm (including AML and financial promotion)
- An understanding of the upcoming regulatory change programme as it relates to the distribution activities of Asset Managers and their approach to the regulation of Asset Managers in Europe
- An attitude focusing on the end customers and partners of the Columbia Threadneedle Investments business
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 2,500 people working together. Our expertise is diverse with more than 650 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.
Full-Time/Part-Time: Full time
Worker Sub Type: Permanent
Job Family Group: Legal Affairs
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