Head of RI Compliance Advisory

Columbia Threadneedle Investments
London, United Kingdom
Jul 03, 2022
Jul 22, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Columbia Threadneedle Investments

About Columbia Threadneedle Investments

You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority.

Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,000 people working together. Our expertise is diverse with more than 450 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 welcome applications from returners to the industry.

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.

Job Purpose Statement

Senior Compliance professional responsible for providing Compliance and Regulatory support and advice to guide implementation of CTI's integrated RI strategy as it expands and becomes more deeply embedded across the firm, whilst ensuring that it is aligned with evolving client demands, regulatory and legal requirements and market standards and expectations.

Role Responsibilities

How you'll spend your time....
  • Track RI law and regulation and market standards or company voluntary code initiatives (e.g. Stewardship code and NZAMI) os across all relevant asset classes as applicable to CTI itself and as appropriate our clients and translate all requirements for business partners and indirectly for clients in a way that is easily understandable and practicable. The incumbent will need to collaborate closely with the Global RI legal SME and Compliance RI SME in North America, as well as across Ameriprise including other business segments, to present an aligned GCO view supportive to CTI's evolving RI strategy and the implementation of continuous RI regulatory change.
  • Enhance levels of knowledge and expertise across all functions in our business and across the wider GCO of applicable RI law and regulation.
  • Ensure the effective provision of Compliance Advice for the integrated core RI team acting as a trusted adviser on all aspects of its activities or acting as a connector across other functional towers within GCO e.g. funds or institutional business to ensure alignment with the overall CTI RI strategy. Tasks would include:
  • Attending client DD meetings or prospect pitches as part of the presentation of the overall firm RI end to end proposition
  • Reviewing and comment on proposed submissions to investee companies or governmental or regulatory bodies ensuring that appropriate escalation occurs and approval is sought from within GCO
  • Facilitating the building a one CTI RI team bringing the best of both from the legacy CTI and BMO RI stacks
  • Providing practical input into the governance arrangements and policies and procedures underpinning the operation of the firm's RI strategy and the roll out of this strategy with clients and across its product range
  • Ensuring required support covers both traditional and alternative asset classes working with line of business lawyers given the latter is a strategic priority for the firm i.e. support for product/strategies that hit the alternative/RI "sweet spot"
  • Support the end to-end embedding and evidencing of RI across the firm's entire fund range and value chain including continued development of specialist RI fund ranges and integration of RI into institutional mandates and solutions
  • Support ad hoc queries arising from ongoing active ownership e.g. controversies arising from particular voting or engagement issues
  • Participate actively in various committees and working groups across the firm and the wider industry including dedicated CTI RI governance forums.
  • Provide advice and support to Compliance Assurance and monitoring teams to help develop a RI assurance programme to ensure there is a second line review and check to evidence adherence to RI statements and claims in our products and services

Key Capabilities

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

Ability to review and digest complex RI law and regulation across the globe with particular focus on EU/UK working with other SMEs that may still be evolving whilst requiring practical implementation by the business at the same time. It is critical that the incumbent can translate what can be very difficult concepts into language capable of being easily understood by the wider GCO and business including senior leaders.

They must be comfortable both raising and receiving effective challenge around questions of interpretation and practical implementation whilst being able to reach a landing zone to meet required decision-making deadlines within required deadlines.

A commercial approach to RI regulation

Close working and supportive relationship required with the Global Legal Head of Alts/ESG Compliance RI SME North America and Legal RI SMEs

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