Distribution Compliance Officer - Frankfurt

Overview

• Support the business growth priorities, through efficient, solutions-oriented Compliance support.
• Provide regulatory advice primarily for matters related to  cross‑border distribution, product‑related compliance, and local regulatory requirements for the EMEA and LatAm distribution offices
• Act as a subject‑matter expert for cross‑border distribution across Europe and Latin America, including private placement exemptions, reverse inquiry frameworks and jurisdiction‑specific rules.
• Provide day to day compliance support to the European and LatAm distribution offices, including local regulatory obligations, onsite requirements and regulatory engagement.
• Support the integration and harmonisation of compliance standards across EMEA.
• Build strong relationships with business partners and promote a culture of compliance, offering clear and practical guidance to Distribution and Product teams on applicable regulations.
• Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders, as applicable.
• Assist to develop, implement and maintain policies and procedures  relating to distribution activities
• Stay up to date on regulatory developments and industry changes in Europe and LatAm
• Translate regulatory developments into practical, controlled processes within the Distribution Compliance framework
• Contribute to the development/improvement, maintenance and implementation of Distribution employee training program and materials.
• Contribute to compliance-related components of new market entries, product launches, Company changes impacting licenses, and strategic growth initiatives across EMEA and LatAm ensuring regulatory requirements are embedded early and thoroughly.
• Engage proactively with Distribution teams to understand new initiatives, provide forward‑looking compliance guidance, and assess impacts on cross‑border distribution processes, policies and controls.
• Lead or support targeted compliance and enterprise-wide projects, including regulatory change implementation, process optimisation, standardisation of MI and reporting, and enhancements to the Distribution Compliance operating model.
• Collaborate with internal stakeholders to design, document, and implement controlled processes linked to Distribution Compliance activities
• Perform additional project-related tasks and responsibilities as required to support the efficient functioning and continuous improvement of the compliance framework
• Create, maintain and enhance management information (MI) across areas such as cross border activity, private placements, reverse inquiries, regulatory reporting status, and training completion.
• To collate and produce Compliance reporting for supported areas.
• Proven experience in Distribution or Regulatory Compliance, ideally within an asset manager or a financial‑services environment covering cross‑border distribution activities.
• Strong knowledge of asset management products, fund structures, and their regulatory frameworks (UCITS, AIFMD, MiFID II).
• Deep understanding of cross‑border distribution

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 2,300 people working together. Our capability is diverse with more than 550 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. Our unwavering focus on our clients and strong financial foundation connects each of our enterprise businesses — Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities.

Job Description

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

We are looking for a talented individual to support day-to-day activities of the EMEA Distribution Compliance Advisory Team for Columbia Threadneedle Investments, part of Ameriprise Financial. In this role, you will contribute to a dynamic, multi‑jurisdictional compliance framework that supports the firm’s distribution activities across Europe and Latin America, with a focus on cross‑border distribution of UCITS, AIFs and financial services, as well as local Compliance obligations of our regional distribution offices.

You will play a key role in ensuring our distribution activities remain compliant, well‑controlled and commercially aligned by providing practical regulatory advice, supporting local offices with their day‑to‑day obligations, and contributing to the harmonisation of compliance standards across regions.

How you'll spend your time...

Advice

Regulatory Analysis

Training

Projects

Management Reporting

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