Distribution Compliance Officer - Frankfurt

Ameriprise Financial Services, LLC; Frankfurt; Hybride; EUR 85 000 - 117 000; Plein temps

Résumé du poste

Columbia Threadneedle Investments, part of Ameriprise Financial, seeks an experienced Distribution Compliance professional to support cross‑border regulatory matters across Europe and LatAm. You will advise on UCITS, AIFMD, MiFID II, and ensure compliant, well‑controlled distribution activities for regional offices while partnering with Business and Product teams.

The role emphasizes collaboration, policy development, and ongoing training to sustain a robust compliance framework in a

Qualifications

• Proven experience in Distribution or Regulatory Compliance.
• Knowledge of asset management products and regulatory frameworks.
• Experience with cross-border distribution rules and local requirements.

Responsabilités

• Provide regulatory advice for cross-border distribution and local regulatory obligations.
• Support day-to-day compliance for European and LatAm distribution offices.
• Harmonise compliance standards across regions and promote best practices.
• Develop, implement and maintain policies relating to distribution activities.
• Lead or support compliance projects, including regulatory change implementation.
• Collaborate with stakeholders to design controlled processes and MI reporting.

Connaissances

Regulatory compliance

Distribution compliance

Cross-border distribution

Project management

Stakeholder management

Analytical thinking

Outils

MS Excel

PowerPoint

Word

Seismic

SharePoint

Description du poste

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 2,300 people working together. Our capability is diverse with more than 550 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. Our unwavering focus on our clients and strong financial foundation connects each of our enterprise businesses — Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities.

Job Description

Where you’ll fit in & what our team goals are…

We are looking for a talented individual to support day-to-day activities of the EMEA Distribution Compliance Advisory Team for Columbia Threadneedle Investments, part of Ameriprise Financial. In this role, you will contribute to a dynamic, multi‑jurisdictional compliance framework that supports the firm’s distribution activities across Europe and Latin America, with a focus on cross‑border distribution of UCITS, AIFs and financial services, as well as local Compliance obligations of our regional distribution offices.

You will play a key role in ensuring our distribution activities remain compliant, well‑controlled and commercially aligned by providing practical regulatory advice, supporting local offices with their day‑to‑day obligations, and contributing to the harmonisation of compliance standards across regions.

How you’ll spend your time…

Advice

• Support the business growth priorities, through efficient, solutions-oriented Compliance support.
• Provide regulatory advice primarily for matters related to cross‑border distribution, product‑related compliance, and local regulatory requirements for the EMEA and LatAm distribution offices
• Act as a subject‑matter expert for cross‑border distribution across Europe and Latin America, including private placement exemptions, reverse inquiry frameworks and jurisdiction‑specific rules.
• Provide day to day compliance support to the European and LatAm distribution offices, including local regulatory obligations, onsite requirements and regulatory engagement.
• Support the integration and harmonisation of compliance standards across EMEA.
• Build strong relationships with business partners and promote a culture of compliance, offering clear and practical guidance to Distribution and Product teams on applicable regulations.
• Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders, as applicable.
• Assist to develop, implement and maintain policies and procedures relating to distribution activities

Regulatory Analysis

• Stay up to date on regulatory developments and industry changes in Europe and LatAm
• Translate regulatory developments into practical, controlled processes within the Distribution Compliance framework

Training

• Contribute to the development/improvement, maintenance and implementation of Distribution employee training program and materials.

Projects

• Contribute to compliance-related components of new market entries, product launches, Company changes impacting licenses, and strategic growth initiatives across EMEA and LatAm ensuring regulatory requirements are embedded early and thoroughly.
• Engage proactively with Distribution teams to understand new initiatives, provide forward‑looking compliance guidance, and assess impacts on cross‑border distribution processes, policies and controls.
• Lead or support targeted compliance and enterprise-wide projects, including regulatory change implementation, process optimisation, standardisation of MI and reporting, and enhancements to the Distribution Compliance operating model.
• Collaborate with internal stakeholders to design, document, and implement controlled processes linked to Distribution Compliance activities
• Perform additional project-related tasks and responsibilities as required to support the efficient functioning and continuous improvement of the compliance framework

Management Reporting

• Create, maintain and enhance management information (MI) across areas such as cross border activity, private placements, reverse inquiries, regulatory reporting status, and training completion.
• To collate and produce Compliance reporting for supported areas.

To be successful in this role you will have…

• Proven experience in Distribution or Regulatory Compliance, ideally within an asset manager or a financial‑services environment covering cross‑border distribution activities.
• Strong knowledge of asset management products, fund structures, and their regulatory frameworks (UCITS, AIFMD, MiFID II).
• Deep understanding of cross‑border distribution rules for UCITS, AIFs and financial services, including private placement regimes, reverse inquiry frameworks and local marketing requirements
• Excellent knowledge of MS Excel, PowerPoint, and Word; experience with Seismic and/or SharePoint preferred.
• Ability to work effectively on multiple projects under tight deadlines and managing multiple stakeholders simultaneously.
• Process driven and operationally focused.
• Demonstrable organisational skills and strong team working and interpersonal skills.

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.

Base Pay Salary

The estimated base salary for this role is €85,200 – €117,400 per year. Final compensation will be determined based on job‑related knowledge, skills, experience, and location. This role may also be eligible for performance‑based variable pay and benefits.

Full-Time/Part-Time

Full time

Worker Sub Type

Permanent

Job Family Group

Legal Affairs

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 fostering an inclusive and performance‑based culture where everyone can belong, grow, contribute and realise their potential.

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.

Columbia Threadneedle Investments is an equal opportunity employer. We consider all qualified applicants without regard to racial or ethnic background, religion or belief, sex or gender, nationality, genetic information, age, sexual orientation, gender identity, disability, marital status, pregnancy or maternity or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to aid your participation in the application or interview process, speak to your recruiter to discuss how we can support you.