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Compliance Manager, Funds
3 months ago
22 Bishopsgate, London – Hybrid
Permanent
At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper.
As a future Compliance Manager, Funds & Distribution, you will report to our Senior Compliance Manager and you will be part of AXA IM UK Compliance.
DISCOVER your opportunity
To provide a key point of contact between UK Sales, Product Specialists, Distribution and Marketing business lines and UK Compliance. The individual will provide strategic input and expertise into the development of the UK Distribution model and the production of marketing materials. The individual will be a critical sponsor and contributor to regulatory projects through to implementation.
Your role and responsibilities will include
To 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.
To be a key contributor to the Distributor oversight framework.
To be a key Compliance contributor to regulatory change implementation projects, in particular for this year, key deliverables being 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 across multi product and asset classes, and fund regulatory topics where required.
To sponsor the development of workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.
Assist in the development of management information to track marketing approvals and assess the effectiveness of the Distribution teams in producing quality documentation for Governance purposes.
Assist the team in broader responsibilities related to oversight of the UK fund range and managing external Depositary relationships.
Assist in the maintenance and revision of applicable policies and documents.
Your Profile
SHARE your unique expertise
We welcome different combinations of skills & experiences.
Your qualifications and experience:
Degree or relevant industry qualifications
Proven technical distribution and financial promotions Compliance experience, preferably gained in a multi-asset asset management or equivalent environment, up to senior level.
Significant experience of Compliance contribution and delivery to relevant regulatory change projects.
Your knowledge and skills:
Knowledge of overseas distribution requirements, FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing, knowledge of ESG practices relating authorised funds desirable.
Energetic personality with the drive to effect change and develop relationships across all levels of the organisation.
Strong written and verbal communication skills
Strong analytical skills
Able to produce training material which interprets FCA rules into simple English.
Able to use initiative, work unsupervised and comfortable taking responsibility
We would love to know more about you. Let’s connect Send us your resume.
About AXA
The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries.
We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management.
Our mission: To act for human progress by protecting what matters
Our values: Customer first, Integrity, Courage and One AXA
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 Investment Managers | Home | AXA IM Corporate (axa-im.com)
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 offer 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.
