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Compliance Program Office Analyst

Columbia Threadneedle Investments
London, United Kingdom
Closing date
Dec 3, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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

Facilitate trade approval requests (preclearance) during UK market hours.

Role Responsibilities

How you'll spend your time
  • First 6 months, 75% of time will be allocated to supporting PTA/Personal Dealing. Remaining time to support other compliance initiatives as required.
  • Second 6 months, 75% of time will be allocated to supporting other compliance initiatives as required with remaining time for PTA/Personal Dealing.
  • Facilitate trade approval requests (preclearance) during UK market hours.
  • Responsible for brokerage data and feed management for the monitoring of employee's personal trading
  • Ensuring the feeds are received as expected and reconciling any rejected files
  • Following up with brokers to ensure timely addition of new employee accounts to the feeds
  • Support collection of contract notes from employees who do not have accounts established on electronic feeds.

Key Capabilities

To be successful in this role you will have
  • Good understanding of investment instruments and financial products
  • Excellent analytical and research skills
  • Strong organizational skills and attention to details are needed
  • Ability to exercise flexibility, initiative, good judgement and discretion

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