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Regulatory Developments Officer

Columbia Threadneedle Investments
London, United Kingdom
Closing date
Jun 5, 2023

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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

Keeping abreast of new regulations and analysing the impact they will have across these varying business lines.

Co-ordinating communication and responses with the regulators

Supporting the Head of Compliance, Head of Regulatory developments, and other members of the department in the delivery of the departmental objectives.

Role Responsibilities

How you'll spend your time....

Tracking regulatory developments:
  • Identify, assess, and track key regulatory developments and changes for the relevant business areas within Columbia Threadneedle Investments (EMEA and APAC). This includes using the regulatory tracker tool and reviewing regulatory websites and other sources of information in all applicable jurisdictions
  • Maintain the regulatory developments tracker and SharePoint log, following up on status against regulatory change measures to be implemented.
  • Help prepare and contribute to the monthly regulatory development legal and compliance meetings.
Regulatory analysis:
  • Complete initial impact assessments of regulatory developments coming down the line and seek views from GCO SMEs and interested parties to substantiate this assessment.
  • Assist with deeper dive analysis and interpretation of regulatory changes and where appropriate, support GCO in providing timely advice and guidance to the business, with focus on regulatory developments.
  • Liaise with Columbia Threadneedle America on SEC regulation that may need to be interpreted and assessed for its impacts on the EMEA business.
  • Assist with the preparation of various reports including Management Information (MI) on regulatory developments.
  • Help maintain regulatory change sections of the intranet as a means of disseminating information and the regulatory developments newsletter.
Projects Participation:
  • Support the Head of regulatory developments with the regulatory change process by producing reports and updates for the Regulatory Change Steering Committee.
  • Participate in some regulatory projects.
Regulatory training:
  • Assess the impact that UK/EU/APAC regulatory change may have on the US businesses and liaise / report I provide training to them where necessary.
  • Attend trade association forums, help put together training slides and presentations and assist with training where necessary.

Key Capabilities

To be successful in this role you will have....
To be successful in this role you should have knowledge of UK and European (APAC and US knowledge ideal) financial services regulation including the UK and EU policymaking process gained by working in either a compliance function or relevant second line function and have broad knowledge of regulatory risks in especially in the context of regulatory change/development agenda.
  • The ability to work on own initiative and work relatively unsupervised.
  • Analytical and interpretation skills on large volumes of data.
  • Drafting skills, diligence when drafting quality outputs and the ability to accurately and synthesise vast volumes of written information.
  • Organisational skills, ability to deliver results in advance of strict deadlines, balancing on-going role requirements with ad-hoc initiatives.
  • Communication skills, be a strong team player and be able to relate to individuals at all levels across the business.
  • Good working knowledge of MS Office Suite.

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