Vice President, Global Compliance Monitoring

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

You will be responsible for the development and execution of the compliance testing program across our global asset management business. You will drive the creation and completion of a risk-based program of testing encompassing a broad range of diverse products and businesses across North America and EMEA/APAC.

We’re seeking a dynamic Vice President, Global Compliance Monitoring to lead our global program and drive innovation and change as Columbia Threadneedle continues to diversify its product offerings. This position has a high degree of visibility across the asset management business. Success in this role is closely tied to the ability to engage collaboratively across global teams. You will coordinate continuously with business partners, and first, second and third-line risk colleagues to deliver meaningful results and advice that identify and mitigate risk to the organization while supporting the compliant growth of business. You will also provide strategic thought leadership for the increased use of available technology and data to transform the testing program.

How you'll spend your time...

• Manage the life cycle activities for the compliance monitoring plan including facilitation of compliance risk assessments, creation and maintenance of the annual monitoring plan, and management of outstanding compliance actions. Work with compliance colleagues in regional hubs to develop regionally specific plan overlays.
• Lead the team in the execution of the plan providing guidance and assistance as appropriate throughout the review. Approve all deliverables and assist in negotiating findings with business partners.
• Upskill the knowledge and skills of the team through focused training and mentoring. Create and drive the continuous learning agenda.
• Foster program sustainability and consistency. Manage the support of program tools and documentations including workflow systems, written procedures, training materials, job aids, and team SharePoint site.
• Enhance the quality, efficiency, and sustainability of the program through automation, technology, data analytics and identification of areas for improvement. Participate in external networking and trainings focused on compliance testing programs, both in EMEA and US.
• Provide thought leadership and consultation to senior business leaders and other internal stakeholders on compliance and regulatory matters. Liaise deliberately with key first line embedded risk partners in core areas such as Investments, Distribution, Data Management, and Operations.
• Partner with the internal audit and operational risk teams to coordinate testing plans and to share best practices and testing outcomes.  Operate within the structure and requirements of an enterprise risk management program.

To be successful in this role you will have...

• Strong knowledge of the global regulation of investment advisers, broker/dealers, management companies, and various forms of regulated and unregulated pooled investment vehicles/schemes.  Deep knowledge of EMEA regulations and principles for various forms of investment funds and accounts (e.g., UCITs, AIFs, segregated mandates, etc.).
• Significant experience and proven success in controls and outcomes-based testing and in creating and managing a testing program to ensure continual compliance with regulation and internal policies and processes.  Demonstrated success in managing resourcing and consistently achieving deadlines.
• Advanced ability to communicate and influence effectively at a senior management and executive level. Proven ability to write board and executive-level materials with high degree of competency.
• Willingness and ability to explore and implement systems and technology to deliver efficient results.
• Strong sense of accountability for controls and processes and experience of implementing process change. Structured, focused, methodical approach: adhering to and continually improving processes.
• Advanced attention to detail and analytical capability.
• Advanced skills in the use of Microsoft Office programs (PowerPoint, Excel, Word).
• Experience in a fast-paced environment, with an ability to manage multiple deliverables and balance priorities.
• Ability and willingness to travel internationally (no more than 10% travel is anticipated).

It would be great if you also had...

• Working knowledge of U.S. securities laws and regulation.
• Sound understanding of Exchange-Traded Funds (U.S. and EMEA).
• Experience in the application of forensics and data analytics to a testing program.
• User experience in Microsoft Power Platform. Experience with Enterprise Governance Risk Management software.
• Prior work experience in complex, global asset management firms.
• 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 2,500 people working together. Our expertise is diverse with more than 650 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.

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 providing an inclusive workplace that supports the diversity of our employees and reflects our broader communities and client-base.

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.

Full-Time/Part-Time

Full time

Worker Sub Type

Permanent

Job Family Group

Legal Affairs