CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
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 of 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 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 In this role you will conduct risk-based compliance monitoring assignments across Columbia Threadneedle, covering Front Office, Property, Distribution, Support Functions and Outsourced providers. How you will spend time your time in the team....* You will be leading and assisting with risk based 'Thematic' Compliance Monitoring reviews, * You will help developing, carrying out and having responsibility for selected 'Continuous Assurance' Compliance Monitoring tests, * You will carrying out/supporting additional tasks i.e. PAD oversight, Conflicts management, Regulatory Filings, Compliance reporting, * You will also be assisting with ad-hoc project work as required, * You will help liaise with and work with other GCO colleagues, * You will help support 3rd party oversight programme and assisting with visits as required. To be successful in this role you will have....* You have previously worked in this type of role and within Asset Management, preferably in a Compliance or audit role, * You have proven experience of conducting Compliance monitoring reviews/testing work. Including resolution of issues identified and report writing, * You are good in understanding the FCA Conduct of Business rules, knowledge of other rules an advantage, * You are excellent in communication, technical and organisational skills, * You have strong time management skills, able to manage priorities effectively. If you also had this it would be great....* If you have the ability to be able to work alone and in a wider team as business needs demands. * If you have 5 years Compliance Monitoring/Audit experience * If you have some exposure to, or knowledge of, CASS rules. 15541BR