Compliance Manager, Finance & Banking

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 River Source Insurance and Annuities.

Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

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.

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.

• 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…