Senior Manager, Distribution Governance

About Our Company

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 Columbia Threadneedle Investments 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

Sitting within Intermediary Distribution and the Business Management team, Sales Governance helps build and maintain the infrastructure that enables business growth and minimizing risk.
The function develops and maintains a culture of compliance within the supported line of business through effective guidance, oversight, and monitoring of sales activities.
Working across the organization, Sales Governance serves as a bridge between the business and key partners, helping convert complex requirements into practical, actionable guidance that enables sales teams to operate effectively and compliantly.

Key Responsibilities

Partnership & problem resolution

• Serve as a trusted resource for sales teams and business leaders, providing guidance on firm policies, regulatory requirements, and business procedures.
• Act as the primary liaison between the business and key partners, including Compliance, Legal, Risk, and Audit, to facilitate issue resolution and support business initiatives.
• Lead the resolution of ad hoc business questions and complex issues by understanding the underlying challenge, engaging appropriate stakeholders, and delivering clear guidance that enables the business to move forward.
• Research, analyze, and resolve complex business issues, developing recommendations that balance business objectives, client needs, and regulatory requirements.

Policies, procedures & training

• Partner with business leaders and key stakeholders to develop and maintain policies, procedures, and guidance that support sales activities and regulatory requirements.
• Serve as the business advocate throughout the policy and procedure development process, ensuring requirements are practical, scalable, and aligned with business objectives.
• Develop training and communications to promote understanding of business policies and procedures, while identifying opportunities to enhance processes, address emerging business needs, and support new business initiatives

Oversight

• Develop and execute monitoring and testing activities across key sales practices, including supervision, gifts and entertainment, marketing support, educational events, and other higher-risk activities.
• Identify issues, process gaps, and potential risks, and implement practical solutions and process improvements.
• Coordinate and support the business’s supervisory program, including monitoring activities, supervisory reviews, required documentation, and resolution of identified issues.

DDOF

• Own and chair the Due Diligence Oversight Forum (DDOF), overseeing the the review, approval, and oversight of intermediary relationships.
• Monitor intermediary relationships and regulatory developments, identifying material risks and facilitating appropriate review, escalation, and action.

 

Licensing & registration

• Coordinate the onboarding, licensing, and registration process for sales personnel, partnering with Compliance and other stakeholders to support timely and accurate registrations.
• Monitor licensing and registration requirements through periodic reviews and reporting, identifying potential issues and facilitating resolution as needed.

Risk

• Serve as the business risk liaison, partnering with business leaders and Risk to identify risks, support mitigation activities, and maintain alignment with enterprise risk requirements.

Required Qualifications

• Strong knowledge of the financial services industry.
• Ability to develop strong business relationships in sometimes difficult circumstances.
• Strong problem-solving skills with the ability to work independently, anticipate challenges, and proactively develop solutions.
• Strong written and verbal communication skills that enable collaboration amongst all business lines and various levels of seniority to achieve results and reduce risk.
• Ability to prepare for and present materials to senior leaders. Comfortable working in a flexible, fast-paced environment.

Preferred Qualifications
Bachelors degree

Series 7 & 66

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

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.

Base Pay Salary

The estimated base salary for this role is $120,000- $145,000 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.Full timeExemptLegal AffairsAMINV US Asset Management

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.

Columbia Threadneedle is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status 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 participate in the application or interview process, speak to your recruiter to discuss how we can support you.