Sales Governance Lead — Risk, Compliance & Oversight

00036 Columbia Mgmt Invst Adv LLC; Boston (MA); On-site; USD 120,000 - 145,000; Full time

Benefits offered by this job

401(k)

Health insurance

Dental insurance

Life insurance

Vacation and sick time

Job summary

Columbia Threadneedle Investments in Boston is seeking a Sales Governance professional to support intermediary distribution and business management. You will help build compliant sales infrastructure and guide teams through policies and regulatory requirements.

The role requires strong industry knowledge, relationship-building skills, and the ability to resolve complex issues with cross-functional partners. In-office collaboration is emphasized, with a performance-based compensation approach.

Qualifications

• Extensive knowledge of the financial services industry.
• Able to build strong business relationships in sometimes difficult circumstances.
• Strong problem-solving skills with the ability to work independently, anticipate challenges, and proactively develop solutions.
• Strong written and verbal communication skills that enable collaboration amongst all business lines and various levels of seniority to achieve results and reduce risk.
• Ability to prepare for and present materials to senior leaders.
• Comfortable working in a flexible, fast-paced environment.

Responsibilities

• Partnership & problem resolution. Serve as a trusted resource for sales teams and business leaders, providing guidance on firm policies, regulatory requirements, and business procedures.
• Act as the primary liaison between the business and key partners, including Compliance, Legal, Risk, and Audit, to facilitate issue resolution and support business initiatives.
• Lead the resolution of ad hoc business questions and complex issues by understanding the underlying challenge, engaging appropriate stakeholders, and delivering clear guidance that enables the business to move forward.
• Research, analyze, and resolve complex business issues, developing recommendations that balance business objectives, client needs, and regulatory requirements.
• Policies, procedures & training. Partner with business leaders and key stakeholders to develop and maintain policies, procedures, and guidance that support sales activities and regulatory requirements.
• Serve as the business advocate throughout the policy and procedure development process, ensuring requirements are practical, scalable, and aligned with business objectives.
• Develop training and communications to promote understanding of business policies and procedures, while identifying opportunities to enhance processes, address emerging business needs, and support new business initiatives.
• Oversight. Develop and execute monitoring and testing activities across key sales practices, including supervision, gifts and entertainment, marketing support, educational events, and other higher-risk activities.
• Identify issues, process gaps, and potential risks, and implement practical solutions and process improvements.
• Coordinate and support the business’s supervisory program, including monitoring activities, supervisory reviews, required documentation, and resolution of identified issues.
• DDOF Own and chair the Due Diligence Oversight Forum (DDOF), overseeing the review, approval, and oversight of intermediary relationships.
• Monitor intermediary relationships and regulatory developments, identifying material risks and facilitating appropriate review, escalation, and action.
• Licensing & registration Coordinate the onboarding, licensing, and registration process for sales personnel, partnering with Compliance and other stakeholders to support timely and accurate registrations.
• Monitor licensing and registration requirements through periodic reviews and reporting, identifying potential issues and facilitating resolution as needed.
• Risk Serve as the business risk liaison, partnering with business leaders and Risk to identify risks, support mitigation activities, and maintain alignment with enterprise risk requirements.

Skills

Finance knowledge

Relationship building

Problem solving

Communication skills

Presentation skills

Adaptability

Education

Bachelor's degree

Job description

Columbia Threadneedle Investments in Boston is seeking a Sales Governance professional to support intermediary distribution and business management. You will help build compliant sales infrastructure and guide teams through policies and regulatory requirements.

The role requires strong industry knowledge, relationship-building skills, and the ability to resolve complex issues with cross-functional partners. In-office collaboration is emphasized, with a performance-based compensation approach.