Ameriprise Financial Services, LLC
SMCR Analyst
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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…
As an SMCR Analyst, you will play a critical role in supporting the effective delivery of the Senior Managers and Certification Regime across EMEA. Working closely with the SMCR Director and key partners across Human Resources, Compliance and Operational Risk, you will help ensure regulatory compliance, maintain governance standards and drive operational excellence. This role offers broad exposure to senior stakeholders, opportunities to influence process improvements and the ability to contribute to an evolving regulatory framework within a leading global asset manager.
How you'll spend your time...
- Partner with the SMCR Director to create, maintain and update Senior Managers and Certification Regime documentation for Senior Manager Functions and Certified Persons roles.
- Collaborate with Compliance, Front Office Control, Human Resources Business Partners and other stakeholders to manage role, employment and organisational changes and prepare associated regulatory documentation.
- Maintain accurate records, management information and data within the SMCR management system, including reconciliations against key data sources and tracking of regulatory activities.
- Support regulatory applications, approvals and onboarding processes for Senior Managers and other regulated employees, ensuring submissions are accurate and completed on time.
- Manage certification-related activities for new hires, internal transfers and leavers while ensuring adherence to regulatory requirements and internal controls.
- Maintain mandatory regulatory documentation, including Statements of Responsibilities, Management Responsibilities Maps and Financial Conduct Authority directory records.
- Support policy, framework and process reviews, while contributing to the ongoing automation and enhancement of SMCR operational processes.
- Act as a trusted point of contact for employees, leaders and Human Resources partners on SMCR requirements, processes and compliance obligations.
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To be successful in this role you will have...
- Prior experience supporting Senior Managers and Certification Regime requirements within financial services, compliance, risk or a related regulatory environment.
- Experience partnering with Compliance and Operational Risk teams and applying regulatory frameworks to ensure ongoing adherence to policies and controls.
- Experience using SMCR systems and regulatory platforms to manage records, certification activities and reporting requirements.
- Strong analytical skills with exceptional attention to detail and the ability to manage sensitive regulatory documentation accurately.
- Excellent communication and stakeholder management skills, with the ability to influence and build relationships at senior levels.
- Structured and process-oriented approach, with a focus on continuous improvement, ownership and control effectiveness.
- Ability to manage multiple priorities in a fast-paced environment while demonstrating discretion, integrity and sound judgement.
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- Bachelor’s degree or equivalent combination of education and relevant professional experience.
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Full-Time/Part-Time
- Full time
Worker Sub Type
- Permanent
Job Family Group
- Human Capital
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 fostering an inclusive and performance-based culture where everyone can belong, grow, contribute and realise their potential.
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.
Columbia Threadneedle Investments is an equal opportunity employer. We consider all qualified applicants without regard to racial or ethnic background, religion or belief, sex or gender, nationality, genetic information, age, sexual orientation, gender identity, disability, marital status, pregnancy or maternity or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to aid your participation in the application or interview process, speak to your recruiter to discuss how we can support you.
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