Compliance Manager, Funds

3 weeks ago

London, United Kingdom AXA Group Full time

Compliance Manager, Funds and Distribution

22 Bishopsgate, London - Hybrid

Permanent

At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper.

As a future Compliance Manager, Funds & Distribution, you will report to our Senior Compliance Manager and you will be part of AXA IM UK Compliance.

DISCOVER your opportunity

To provide a key point of contact between UK Sales, Product Specialists, Distribution and Marketing business lines and UK Compliance. The individual will provide strategic input and expertise into the development of the UK Distribution model and the production of marketing materials. The individual will be a critical sponsor and contributor to regulatory projects through to implementation.

Your role and responsibilities will include

  • To be a key Compliance point of contact providing advice and guidance for technical queries and regulatory matters relating to onshore and offshore distribution and marketing.
  • To be a key contributor to the Distributor oversight framework.
  • To be a key Compliance contributor to regulatory change implementation projects, in particular for this year, key deliverables being the UK's Sustainability Disclosure Requirements and the Offshore Funds Regime.
  • Provide training to the business in relation to current and emerging regulations in respect of onshore and cross-border distribution and marketing across multi product and asset classes, and fund regulatory topics where required.
  • To sponsor the development of workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.
  • Assist in the development of management information to track marketing approvals and assess the effectiveness of the Distribution teams in producing quality documentation for Governance purposes.
  • Assist the team in broader responsibilities related to oversight of the UK fund range and managing external Depositary relationships.
  • Assist in the maintenance and revision of applicable policies and documents.
SHARE your unique expertise

We welcome different combinations of skills & experiences.

Your qualifications and experience:

  • Degree or relevant industry qualifications
  • Proven technical distribution and financial promotions Compliance experience, preferably gained in a multi-asset asset management or equivalent environment, up to senior level.
  • Significant experience of Compliance contribution and delivery to relevant regulatory change projects.
Your knowledge and skills:

  • Knowledge of overseas distribution requirements, FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing, knowledge of ESG practices relating authorised funds desirable.
  • Energetic personality with the drive to effect change and develop relationships across all levels of the organisation.
  • Strong written and verbal communication skills
  • Strong analytical skills
  • Able to produce training material which interprets FCA rules into simple English.
  • Able to use initiative, work unsupervised and comfortable taking responsibility
We would love to know more about you. Let's connect Send us your resume.

The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries.

We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management.

Our mission: To act for human progress by protecting what matter

Our values: Customer first, Integrity, Courage and One AXA

At AXA IM we are investing with a clear purpose - to make the world a better place. We act for human progress by investing for what matters. Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative and core asset classes. We are already entrusted by our clients with more than €887 billion in assets.

AXA Investment Managers | Home | AXA IM Corporate (axa-im.com)

AXA IM is an Equal Opportunity Employer, and we encourage candidates with disabilities or any other protected characteristic to apply. We are committed to providing reasonable accommodation to qualified applicants and employees with disabilities, when needed, to apply for a position or to perform essential job functions.

Inclusion and Diversity | Careers | AXA IM Corporate (axa-im.com) #J-18808-Ljbffr

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