Primary Location : UNITED KINGDOM-GREATER LONDON-LONDONOrganization : AXAIM Global COOContract Type : RegularShift : Day JobSchedule : Full-time Description
To act as Senior Compliance Adviser within AXA Investment Manager's UK Compliance Advisory team, primary focus will be on Business Compliance topics, including, SMCR, Conflicts of Interest Register, New Business Process, CASS oversight, Oversight of FCA Reg Data and overseeing the Code of Ethics ProgrammeKey Accountabilities Regulatory compliance
- Responsible for the management and oversight of the firms SMCR framework and related policies and procedure, including regular training to all in scope in employees. Where relevant look to make improvements to the framework and related operational setup including regularly liaising with the firms HR team. High focus on this area within the first 12-18 months, possibly high as 50% of the role. High focus on this area within the first 12-18 months, possibly high as 50% of the role.
- Oversee the firms CASS framework including the updating and oversight of the firms CASS breaches register.
- Oversee the UK Code of Ethics programme and work closely with other team members in production of relevant management information and KPI's. Where possible look to make enhancements and where feasible look to better utilise technology solutions.
- Manage, reply and oversee the UK's Compliance input into the firm's Global New Business Committee including the attendance of relevant Committee meetings.
- Development, manage and maintain a new tracker to monitor and oversee all FCA Reg Data filings and liaise with relevant areas of the business e.g., Finance team
- Manage, oversee, and improve (including looking at automating) the quarterly Attestations and Certifications programme. This will include liaising with relevant AXA IM entities overseas where necessary.
- Develop, maintain, and improve the way we respond and track all UK regulatory responses for RFP questionnaires and client due diligence meetings. a
- Maintain a register of all 'Advisory' Compliance policies including the review process and associated updates.
- Provision of accurate and timely advice to the UK Regulated Entities to facilitate their adherence to compliance standards and requirements and expectations of AXA IM Group and AXA Group, focusing particularly on the front office of the investment management activities of the business.
- Assist with implementation of regulatory developments, working collaboratively with the business and Global Compliance to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements are executed to a good standard and in a timely manner.
- Maintain, develop, and enhance the relevant Compliance areas relating to the firm's new starters processes, including presenting the firms Compliance induction, and ensuring new employees are tracked within relevant Compliance records.
- Work closely with the UK based Client Distribution team on a range of topics and assist with Compliance related client queries for example Costs and Charges etc.
- Build a close working relationship with all relevant Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.
- Provide ad-hoc training and information to relevant staff and maintain required records.
- Assist with the production of the UK regulatory tracker and research relevant regulatory topics as necessary
- Assist with the provision of information to clients and / or regulators as need be.
- As required, participate in relevant governance committee meetings.
- Provide management information to governance committees and senior management to demonstrate compliance or to highlight issues or trends where appropriate.
- Assist the Senior Compliance Advisory Manager in providing reports and escalation of issues as required to the UK Head of Compliance.
Knowledge and Skills
- A professional qualification would be preferable but not essential.
- Around 5-7 years asset management experience largely gained in a Compliance or control function, ideally within an investment management environment with exposure and familiarity to a wide range of Business and Investment Compliance topics relating to the managing of both retail and institutional clients (including a range of fund structures).
- Good knowledge of UK regulation as applicable in an Investment Management business servicing both institutional and retail clients
- Strong experiencing of managing or implementing the SMCR regime
- Knowledge of the CASS requirements
- Strong interest in business Compliance topics with coupled with strong Investment Compliance experience
- Strong understanding of the FCA's 'Conduct Risk' agenda
- The ability to build business relationships
- Good communication skills, both oral and in writing,
- Demonstrable experience of problem solving and ability to communicate effectively with all areas of the business.
- Strong sense of integrity and ethics.
- Ability to influence boards and senior management as well as investment professionals in compliance matters.
- Collegial and collaborative approach to problem solving.
- Maturity and drive.
- Pragmatic, calm and with a 'can do' approach to work.
- Good judgement.
- Able to manage and deal with multiple topics.
Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things. In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.
AXA Investment Managers (AXA IM) is a responsible asset manager, actively investing for the long-term to help its clients, its people and the world to prosper. Our high conviction approach enables us to uncover what we believe to be the best global investment opportunities across alternative and traditional asset classes, managing approximately 866 billion in assets as at the end of June 2021. AXA IM is a leading investor in green, social and sustainable markets, managing 568 billion of ESG-integrated, sustainable and impact assets as at the end of June 2021. We are committed to reaching net zero greenhouse gas emissions by 2050 across all our assets, and integrating ESG principles into our business, from stock selection to our corporate actions and culture. Our goal is to provide clients with a true value responsible investment solution, while driving meaningful change for society and the environment. At end of June 2021, AXA IM employs over 2,488 employees around the world, operates out of 26 offices across 20 countries and is part of the AXA Group, a worldwide leader in insurance and asset management.
What We Offer
We are proud to foster a high-performance culture, which means that we seek to recruit and retain people who are not only technically-skilled but also globally-minded, innovative and able to leverage their unique perspectives and life experiences to support our success as a company. AXA IM is committed to building an inclusive culture, valuing diversity and supporting the career progression of all employees.