Compliance Analyst, Monitoring

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

Providing robust regulatory challenge, oversight, advice and support, to the UK and overseas BMO Global Asset Management (EMEA) business.

Supporting the Chief Compliance Officer and other members of the department in the delivery of the departmental objectives

Delivering a respected and valued compliance service for the BMO Global Asset Management (EMEA) businesses.

Role Responsibilities

How you'll spend your time....

Departmental

• Contribute to the development of the Compliance Department by supporting the CCO to deliver a high performing, unified approach to the business.
• Develop a high level of visibility within the business by delivering a proactive, risk-based service, thereby increasing the team's and department's profile,
• Promote strong regulatory awareness within the business, including a robust compliance culture
• Assist the timely preparation of reports for Boards, Committees and Management
• Participate in departmental and LRC meetings and initiatives, as directed

Team

• Contribute to the development of the Oversight team, ensuring a collaborative approach to make it a high performing team.
• Provide support to the Chief Compliance Officer and/or the Compliance Director, Oversight as well as other team members
• Build and maintain a strong business partner approach with the business lines/departments as agreed by the Compliance Director, Oversight and/or the Chief Compliance Officer.
• Ensure requests and tasks are completed in an effective, timely and efficient manner.
• Work closely with the Advisory Compliance teams to ensure alignment in all areas
• Attend IA/and external seminars/workshops as appropriate.
• Liaise with third parties, including clients, in respect of regulatory matters.
• Mentoring members of the Regulatory Oversight Team/department where appropriate
• Contribute to the Compliance Oversight team's delivery and oversight of the Enterprise Wide Compliance programme, with specific focus on 2nd line Monitoring and Testing Activities.
• Lead or assist (as appropriate), on delivering risk based and detailed compliance monitoring reviews - from planning through to completion, ensuring recommendations and issues are raised and tracked through to resolution.
• Contribute to amending/updating the RCRA and Monitoring and Testing programme to ensure it reflects the business and regulatory focus.
• Monitoring adherence to the Code of Ethics for BMO GAM EMEA and Global Heads
• Lead/assist (as appropriate) the management and oversight of the Regulatory Reporting requirements for BMO GAM EMEA

Business

• Assist with the effective implementation and maintenance of the Enterprise Compliance Programme and other initiatives as guided by the Chief Compliance Officer and/or Compliance Directors
• Contribute to business and strategic initiatives, projects, working groups and committees, as guided by the Chief Compliance Officer and/or the Compliance Directors.
• Provide training to increase awareness of regulatory matters within the business.

Key Capabilities

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

• Related experience in an asset management compliance function
• Ability to develop strong relationships with business