Full-Time
Compliance Associate
Distribution
Confirmed live in the last 24 hours
Ameriprise Financial
10,001+ employees
Provides financial planning and advisory services
Junior, Mid
London, UK
Flexible working requirements can be discussed with the recruiter.
- Proven experience in a similar role.
- An understanding of Asset Managers and Asset Management products.
- 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 organizational skills and strong team working and interpersonal skills.
- European languages (German, Italian, French)
- To provide regulatory advice and support to the business
- Review client communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies.
- Establish and maintain relationships with business partners and foster/promote a culture of compliance, and provide guidance to marketing relating to applicable rules and regulations.
- Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders, as applicable.
- Develop, maintain, and revise policies and procedures of the compliance framework and its related activities
- Stay up to date on regulatory developments and industry changes. Both in the UK and EMEA
- Work collaboratively with multiple business partners to gain a thorough understanding of our asset management products and business strategy and plans.
- Prepare and issue regulatory analysis, drawing out issues and developments affecting Columbia Threadneedle Investments.
- Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials.
- Attend meetings and hold ad hoc discussions with Distribution and Marketing to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials
- Work on special business or GCO projects, and performs other duties as assigned.
- To provide input into Compliance management information (MI) and reporting to the Committees and governing bodies;
- To collate and produce Compliance reporting for supported areas.
Ameriprise Financial offers financial planning services and advice through a network of financial advisors. Their services include helping clients assess their retirement readiness and providing strategies to manage investment risks. Clients can engage in conversations about their financial goals, such as whether to pay off a mortgage early, with the guidance of an advisor. What sets Ameriprise apart from competitors is their focus on personalized financial conversations and the emphasis on rational decision-making in investing. The company's goal is to empower clients to achieve their financial dreams and live the life they have earned.
Company Stage
N/A
Total Funding
$287.3M
Headquarters
Minneapolis, Minnesota
Founded
N/A
Simplify's Take
What believers are saying
- Joining Ameriprise offers the opportunity to work with a leading financial planning firm with a strong reputation and extensive client base.
- The company's focus on personalized financial advice allows advisors to build meaningful relationships with clients, enhancing job satisfaction.
- Ameriprise's philanthropic efforts and community involvement can provide employees with a sense of purpose and pride in their work.
What critics are saying
- Legal disputes, such as the ongoing lawsuit with LPL Financial, could impact Ameriprise's reputation and create a challenging work environment.
- The competitive nature of the financial advisory industry may pressure Ameriprise to continuously innovate and differentiate its services.
What makes Ameriprise Financial unique
- Ameriprise Financial emphasizes personalized financial planning and advisor-client relationships, setting it apart from competitors who may focus more on automated or impersonal services.
- The firm's Confident Retirement® approach and focus on retirement readiness provide a unique value proposition in the financial advisory market.
- Ameriprise's commitment to philanthropy, as evidenced by nearly $2 million in grant funding, enhances its reputation as a socially responsible company.
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