Compliance Manager, Compliance Advisory Expert

4 weeks ago

London, Greater London, United Kingdom AXA Investment Managers Full time
About the Role

We are seeking a highly skilled Compliance Manager to join our team at AXA Investment Managers. As a Compliance Manager, you will play a critical role in ensuring that our investment management activities are conducted in accordance with relevant laws and regulations.

Key Responsibilities:
  • Provide accurate and timely advice and training to our 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.
  • Regularly attend expertise 1st line control committees, investment committees, and produce and present relevant MI where required.
  • 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 with the provision of information to clients, audit, and/or regulators as needed.
  • 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.

About You

We welcome candidates with a strong background in compliance and regulatory affairs. Your qualifications and experience should include:
  • Relevant professional qualification would be preferable but not essential.
  • 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.
  • Experience and knowledge of alternatives investment business, including Real Assets, private equity, infrastructure, hedge funds, and private debt.

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