Compliance Manager

Threadneedle group

Boston, Northern (MA, KY)

Hybrid

USD 79,000 - 138,000

Full time

8 days ago

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Job summary

Columbia Threadneedle Investments in Boston, MA seeks a Compliance Manager to support day-to-day needs for Intermediary and Institutional Sales. You will work on product, marketing, and distribution compliance, helping ensure communications are fair, complete, and compliant with internal policies.

You will collaborate with Legal and Compliance SMEs, manage risk assessments, and stay current with evolving regulatory requirements to support business partners nationwide.

Qualifications

Bachelor's degree or equivalent in a related field.
5–7 years of relevant experience in compliance or financial services.
Strong knowledge of regulatory requirements and ability to support sales/distribution teams.

Responsibilities

Act as SME in Broker-Dealer sales rules and FINRA regulations for Intermediary/Institutional teams.
Maintain relationships and promote a culture of compliance across partners and departments.
Understand products/services and assist with risk assessments and regulatory impact.
Keep up-to-date on SEC/FINRA/CFTC/NFA changes and communicate impacts.
Review and guide marketing/communications for regulatory compliance.
Manage related policies and identify FINRA filing needs and resolutions.

Skills

Bachelor's degree

5-7 years experience

Financial services knowledge

Regulatory knowledge (SEC, FINRA, CFTC

Sales compliance support

Verbal and written communication

Time management

Cross-functional collaboration

Negotiation and problem-solving

Attention to detail

Education

Bachelor's degree or equivalent

Tools

Word

Excel

PowerPoint

Job description

About Our Company

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance & Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Job Description

The Compliance Manager will support the day-to-day compliance needs for Columbia Threadneedle, with focus on the Intermediary and Institutional Sales and Distribution business groups. Support key areas such as product, marketing and sales distribution and initiatives, and communications review.

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

The estimated base salary for this role is $78,700 - $138,200/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Full-Time/Part-Time

Full time Exempt/Non-Exempt Exempt

Job Family Group

Legal Affairs Line of Business GCO General Counsel's Organization Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status 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 participate in the application or interview process, speak to your recruiter to discuss how we can support you.

Company Culture

Since 1894, Ameriprise Financial has helped people feel more confident about their financial future. Guided by strong values and a deep commitment to clients, we've remained a trusted leader in financial planning and advice for more than 130 years. Through our businesses, Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance & Annuities, we deliver advice, investment and protection solutions designed for long-term success. While each business brings distinct capabilities and expertise, all are united by our unwavering focus on clients and a strong financial foundation. For you, that means the opportunity to build a meaningful career in a high-performing, collaborative culture where your expertise can grow, your contributions are valued and your work can make a real impact. As a global financial services company with three complementary businesses, the breadth of our capabilities sets us apart. It also creates unique opportunities for employees to learn, collaborate and grow their careers: Ameriprise Financial: Financial planning, advice and wealth management. Columbia Threadneedle Investments: Global asset management serving individual, institutional and corporate clients. RiverSource Insurance & Annuities: Products and solutions designed to help clients protect and grow their wealth.

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