Compliance Officer, Financial Services

1 week ago

London, Greater London, United Kingdom AXA Funds Management Full time
About the Role

We are seeking a highly skilled Compliance Manager, Funds and Distribution to join our team at AXA Funds Management. As a key member of our Compliance department, you will play a critical role in ensuring that our financial services and products comply with relevant regulations and laws.

Key Responsibilities
  • Provide strategic input and expertise into the development of our distribution model and the production of marketing materials.
  • 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.
  • Contribute to regulatory change implementation projects, including 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.
  • Assist in the development of management information to track marketing approvals and assess the effectiveness of our Distribution teams.
  • Maintain and revise applicable policies and documents.
Requirements
  • Proven technical distribution and financial promotions Compliance experience, preferably gained in a multi-asset asset management or equivalent environment.
  • Significant experience of Compliance contribution and delivery to relevant regulatory change projects.
  • Knowledge of overseas distribution requirements, FCA COBS Regulations specific to financial promotions, AIFMD and UCITS, cross-border marketing, and ESG practices relating to authorized funds.
  • Able to produce training material which interprets FCA rules into simple English.
About Us

AXA Funds Management is a global leader in insurance and asset management, with a presence in 62 countries and a commitment to sustainability and environmental responsibility. We are an Equal Opportunity Employer and encourage candidates with disabilities or any other protected characteristic to apply.

  • Compliance Officer

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading provider of compliance services to the financial industry.Job SummaryWe are seeking a highly skilled Compliance Associate to join our team. The successful candidate will be responsible for assisting in the management of compliance relationships with the front office team, portfolio managers, research...

  • Compliance Officer

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading provider of compliance services to the financial industry.Job SummaryWe are seeking a highly skilled Compliance Associate to join our team. The successful candidate will be responsible for assisting in the management of compliance relationships with the front office team, portfolio managers, research...

  • Head of Financial Crime Compliance

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewCOMPANY PROFILE:Compliance Professionals is a prominent financial institution dedicated to providing customized financial services to affluent clients, families, and organizations.KEY RESPONSIBILITIES:Deliver expert guidance on UK financial crime compliance to internal teams.Revise and enhance the organization's Financial Crime Compliance...

  • Head of Financial Crime Compliance

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewCOMPANY PROFILE:Compliance Professionals is a distinguished private banking institution dedicated to delivering customized financial services to affluent clients, families, and organizations.KEY RESPONSIBILITIES:Offer expertise in UK financial crime compliance to internal teams,Revise and enhance the organization's Financial Crime Compliance...

  • Chief Compliance Officer

    7 days ago

    London, Greater London, United Kingdom Compliance Wise Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly experienced and skilled Chief Compliance Officer to join our team at Compliance Wise. As a key member of our leadership team, you will be responsible for ensuring that our organization meets and maintains the highest standards in professional conduct and quality, and adheres to its legal and...

  • Compliance Officer

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewOur client is a leading provider of compliance services to the financial industry, specializing in regulatory expertise and risk management.Job SummaryWe are seeking a highly skilled Compliance Associate to join our team. The successful candidate will be responsible for managing compliance relationships with internal teams, providing...

  • Compliance Professional

    6 days ago

    London, Greater London, United Kingdom Prudential Financial Full time

    About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at Prudential Financial. As a Compliance Analyst, you will play a critical role in ensuring that our investment activities are conducted in accordance with relevant laws, regulations, and internal policies.Key ResponsibilitiesMonitor investment activity to ensure compliance...

  • Compliance Professional

    7 days ago

    London, Greater London, United Kingdom Prudential Financial Full time

    About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at Prudential Financial. As a Compliance Analyst, you will play a critical role in ensuring that our investment activities are conducted in accordance with relevant laws, regulations, and internal policies.Key ResponsibilitiesMonitor investment activity to ensure compliance...

  • Compliance Officer

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading provider of compliance services to the financial industry, specializing in regulatory advice and risk management.Job SummaryWe are seeking a highly skilled Compliance Associate to join our team. The successful candidate will be responsible for managing compliance relationships with our clients, providing...

  • Compliance Officer

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Coordinator to join our team at Compliance Professionals. As a key member of our Compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Provide management information to the Firm's Head of Compliance & Risk...

  • Compliance Officer

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Coordinator to join our team at Compliance Professionals. As a key member of our Compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Provide management information to the Firm's Head of Compliance & Risk...

  • Compliance Officer

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Coordinator to join our team at Compliance Professionals. As a key member of our Compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Provide management information to the Firm's Head of Compliance & Risk...

  • Financial Regulatory Compliance Officer

    1 week ago

    London, Greater London, United Kingdom DA Financial Trading Recruitment Full time £30,000

    **Job Summary**DA Financial Trading Recruitment is seeking a highly skilled Compliance Associate to join our team. As a Compliance Associate, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong risk management culture.**Key Responsibilities**Assist in the development and implementation of...

  • Financial Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking a highly skilled Financial Crime Prevention Assistant to join our team at Compliance Professionals. As a key member of our team, you will play a critical role in ensuring the integrity of our financial systems and preventing financial crime.Key Responsibilities:Alert Review and Investigation: Perform thorough reviews and...

  • Financial Compliance Specialist

    3 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking a highly skilled Financial Crime Prevention Assistant to join our team at Compliance Professionals. As a key member of our team, you will play a critical role in ensuring the integrity of our financial systems and preventing financial crime.Key Responsibilities:Alert Review and Investigation: Perform thorough reviews and...

  • Legionella Compliance Officer

    6 days ago

    London, Greater London, United Kingdom Aqua Compliance Services Full time

    Aqua Compliance Services is a leading provider of water and air hygiene solutions. We are passionate about redefining standards and aim to lead the industry in water and air hygiene.As a Trainee Commercial Underwriter, you will play a key role in our team, working closely with our experienced professionals to identify and mitigate potential risks in...

  • Legionella Compliance Officer

    1 week ago

    London, Greater London, United Kingdom Aqua Compliance Services Full time

    Aqua Compliance Services is a leading provider of water and air hygiene solutions. We are passionate about redefining standards and aim to lead the industry in water and air hygiene.As a Trainee Commercial Underwriter, you will play a key role in our team, working closely with our experienced professionals to identify and mitigate potential risks in...

  • Chief Compliance Officer

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description**About the Company**Our client is a leading provider of compliance solutions, dedicated to helping businesses navigate complex regulatory landscapes.**Job Summary**We are seeking an experienced Compliance Director to join our team. As a key member of our leadership team, you will be responsible for ensuring our company's compliance with all...

  • Chief Compliance Officer

    6 days ago

    London, Greater London, United Kingdom Compliance Wise Full time

    Job SummaryWe are seeking a highly experienced and skilled Chief Compliance Officer to lead our global Compliance function. As a key member of our senior leadership team, you will be responsible for ensuring that our firm meets and maintains the highest standards in professional conduct and quality, and adheres to its legal and regulatory requirements.Key...

  • Senior Compliance Officer

    4 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled and experienced Head of Financial Crime and Compliance to join our team. The ideal candidate will have a strong background in compliance and regulatory affairs, with a focus on anti-money laundering (AML) and combating the financing of terrorism (CFT).Key Responsibilities:Develop and...