Compliance Surveillance Officer
4 weeks ago
To assist the AXA IM Global Compliance Investment Transversal Business Process team with the design, implementation, execution, and reporting of transactional surveillance activities. In addition, support the Global Compliance Manager in relation to investment transversal topics to ensure the compliance of AXA IM entities with regulation, best practices, and internal standards and policies.
Main Responsibilities:
Conduct market abuse surveillance for all portfolio management and trading activity in accordance with defined procedures.
Where required, assist in other transactional surveillance relating to the following topics International Sanctions and Beneficial Ownership Reporting
Assist in the provision of information to governance committees and senior management to demonstrate compliance and/or to highlight issues or trends where appropriate.
Assist in the development, execution, and maintenance of related processes and procedures to support investment transversal business processes
Assist with the provision of information to clients and/or regulators when required.
About the Role:
This role is an exciting opportunity to join the AXA IM Compliance team and contribute to the development and implementation of compliance processes and procedures. The successful candidate will have strong analytical and problem-solving skills, with the ability to work effectively in a fast-paced environment. They will also have excellent communication skills, with the ability to work across different jurisdictions and with stakeholders across different parts of the firm.
About AXA IM:
AXA Investment Managers (AXA IM) is a leading asset manager offering a range of diverse investment opportunities in traditional and alternative asset classes. With our products, we aim to diversify and grow our portfolios, while providing long-term value and investment performance to our clients. We are committed to achieving the goal of zero greenhouse gas emissions by 2050 for all eligible assets, as well as integrating ESG considerations into our activities, from security selection to our actions and corporate culture. As of the end of December 2023, AXA IM employs over 2,700 employees in 23 offices and 18 countries. AXA IM is part of the AXA Group, a global leader in insurance and asset management.
About the Entity:
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 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)
What We Offer:
We are committed to offering you an environment where you can: Grow your potential: Be part of a forward-thinking business with internal opportunities and personalized learning paths available to help constantly develop your skills and abilities. Shape the way you work: Work for a company which is highly committed to providing flexibility & balance to its employees, offering you a large range of benefits (hybrid working, competitive health benefits, among many others.). Thrive within a diverse community: Play a role within a responsible company that actively recognizes and values individual differences in a diverse and inclusive workforce. Move the world forward: Join a responsible employer that acts in favor of societal and environmental causes as an investor, insurer, and company, notably through the AXA Heart in Action association. As part of our commitment to sustainability and environmental responsibility, we will celebrate your arrival by planting a tree.
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