Compliance Monitoring Officer

**About Columbia Threadneedle Investments**
About Columbia Threadneedle Investments
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 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 professionalssharing 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.
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.
**Job Purpose Statement**
To perform Compliance monitoring reviews covering a variety of regulatory topics and across all business areas (including investment teams, operational functions, sales and marketing, product development, outsourced providers).
**Role Responsibilities**
**Where you'll fit in & what our team goals are....**:

- Leading regional (EMEA and APAC) Compliance monitoring reviews
- Leading coverage of EMEA and APAC as part of global Compliance monitoring reviews, performed in collaboration with Columbia Threadneedle US based Compliance Monitoring teams
- Leading due diligence visits and outsourcing reviews of material third party service providers
- Ownership/performance of ongoing monitoring tasks as part of the program of continuous assurance work, including ongoing third party oversight
- Carrying out/supporting additional tasks performed by the Monitoring team i.e. personal account dealing oversight, conflicts management and Compliance reporting
- Assisting with ad-hoc Compliance tasks and project work as required
- Collaborating with and providing ad-hoc regulatory training to other Monitoring team members in the UK, India and US (as appropriate, as part of all the above tasks)

**Essential**:

- Experience of conducting Compliance monitoring, audit or similar assurance work in the financial services industry, asset management experience/knowledge is preferred
- Familiarity with UK/EU regulatory regimes
- Excellent communication, technical and organisational skills
- Ability to manage a number of responsibilities simultaneously and prioritise tasks effectively

**Desirable**:

- Previous experience working in an Asset Management firm
- Previous experience working as part of a global team
- Exposure to, or knowledge of, the UK CASS rules
- Exposure to, or knowledge of, the Luxembourg CSSF regulatory regime

**Key Capabilities**
**To be successful in this role you will have....**:

- Experience of conducting Compliance monitoring, audit or similar assurance work in the financial services industry, asset management experience/knowledge is preferred
- Familiarity with UK/EU regulatory regimes
- Excellent communication, technical and organisational skills
- Ability to manage a number of responsibilities simultaneously and prioritise tasks effectively

**Desirable**:

- Previous experience working in an Asset Management firm
- Previous experience working as part of a global team
- Exposure to, or knowledge of, the UK CASS rules
- Exposure to, or knowledge of, the Luxembourg CSSF regulatory regime

**Desired Capabilities**
**If you also had this, it would be great....**:

- Previous experience working in an Asset Management firm
- Previous experience working as part of a global team
- Exposure to, or knowledge of, the UK CASS rules
- Exposure to, or knowledge of, the Luxembourg CSSF regulatory regime