Compliance Manager, Private Assets
2 weeks ago
At AXA Group, we are committed to making the world a better place through our investment management services. As a Compliance Manager, Private Assets, you will play a critical role in ensuring that our UK regulated entities adhere to UK Compliance policies and Global standards.
Key Responsibilities:- Provide accurate and timely advice and training to the UK Regulated Entities to facilitate their adherence to UK Compliance policies and Global standards.
- Identify regulatory changes in relevant business areas and effectively communicate these to the business.
- Assist with the implementation of regulatory developments, working collaboratively with the business to facilitate appropriate impact assessments, gap analysis, and relevant implementation requirements.
- Assist in projects to provide compliance analysis and review of new business initiatives and developments of AXA IM in the UK.
- Build a close working relationship with Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.
- Preparation and completion of client reporting and regulatory reporting, including filing a Form ADV with the SEC as AXA IM UK is registered with the SEC as an exempt reporting adviser.
- Assist the Senior Compliance Advisory manager in leading the day-to-day activities of the Compliance Advisory Team, including monitoring the advisory inbox, required sign-offs, and approvals.
- Assist and support the Senior Compliance Advisory manager in the maintenance, ongoing effectiveness, and implementation of all compliance policies and procedures owned by the Compliance Advisory team.
- As required, and in the absence of the Senior Compliance Manager, participate in relevant governance committee meetings.
- Provide management information to governance committees and senior management to demonstrate compliance with policies or to highlight issues and trends where appropriate.
- Assist the Senior Compliance Advisory Manager in providing updates, assessments, and escalation of issues as required to the UK Head of Compliance.
As a Compliance Manager, Private Assets, you will have significant proven Asset management experience, largely gained in a Compliance function, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues. You will also have experience and knowledge of alternatives investment business, including Real Assets, private equity, infrastructure, hedge funds, and private debt.
We are 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.
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