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Compliance Officer, Financial Services
2 months ago
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.
- 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.
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.
