Job Description

Key Responsibilities

• Act as a subject matter expert in Broker-Dealer related sales and distribution rules and FINRA related regulations and provide general compliance support to the Intermediary and Institutional Distribution team.

• Establish and maintain relationships and foster/promote a culture of compliance, with business partners and within AMC Compliance, including Licensing and Registration, Field Office Inspection, the Finance Team, Intermediary. Work collaboratively to gain/maintain a thorough understanding of products, services and business models.

• Assist with compliance risk assessments and effectively communicate those risks and suggestions for improvement to department leaders and business unit leaders, as applicable.

• Stay up to date on regulatory (SEC, FINRA, CFTC/NFA and various important state specific legislature) and industry change and assist in the development of impact assessment and creating summary communication for applicable business partners.

• Manage Intermediary Sales and Distribution related policies and procedures.

• Provide review and guidance to ensure marketing and communications created by Columbia Threadneedle Investments intermediary, institutional and product marketing meet applicable regulatory and internal compliance policies and procedures. Specifically, ensure communications are fair, balanced, complete and do not omit pertinent information and comply with company policies, guidelines, content and disclosure standards. Designate FINRA filing needs for each file reviewed and subsequently work with submitter and/or content owner to resolve any FINRA comments and document action taken.

• Escalate, as needed, to other subject matter experts and/or review groups. Consult with appropriate Legal or Compliance SME when there are questions about the interpretation of regulations or internal policies to support consistency and manage risk.

Required Qualifications

• Bachelor's degree or equivalent (4-years)

• 5-7 years of relevant work experience.

• Strong knowledge of financial services industry and compliance functions.

• Ability to build and develop working knowledge of applicable Industry regulations.

• Experience in providing compliance support to sales and distribution areas Exceptional verbal and written communication skills.

• Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying strong attention to detail.

• Ability to collaborate, communicate, and influence across different levels of an organization.

• Ability to maintain productive working relationships with business colleagues.

• Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment.

• Negotiation, decision making and problem-solving skills.

Preferred Qualifications

• FINRA Series 7 and 24 or 6 and 26 preferred

• Knowledge of different financial products and services

• Knowledge of compliance/advertising review for broker dealer and/or registered investment adviser marketing materials

• Ability to quickly learn new software and create effective communications in Word, Excel, and PowerPoint

• Extensive experience working with FINRA analysts and FINRA exams.

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Base Pay Salary