Compliance Senior Manager, Compliance Advisory 12 Month FTC
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Added before 6 Minutes
- England,London
- full-time
- Competitive salary
Job Description:
Compliance Senior Manager, Compliance Advisory (12 Month FTC)
22 Bishopsgate, London - Hybrid
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 Senior Compliance Manager, you will report to our UK Head of Compliance, and you will be part of AXA IM Global COO.
DISCOVER your opportunity
To manage the compliance advisory team and act as a senior compliance advisory manager within the UK Compliance Department of AXA Investment Managers’ two regulated entitles and unregulated Real Assets entity (The UK Entities)
Your role and responsibilities will include:
Regulatory compliance *Provision of accurate and timely advice to the UK Entities to facilitate their adherence to compliance standards and requirements and expectations of AXA IM Group and AXA Group, focusing particularly on the front office of the investment management activities of the business including CORE, Alts, Prime and M&LS
*Assist with implementation of regulatory developments, working collaboratively with the business and Global Compliance to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements are executed to a good standard and in a timely manner.
*Assist in projects to provide compliance analysis and review of new business initiatives and developments of AXA IM in the U.K.
*Provision of advice and guidance on regulatory topics such as Market Abuse, Client Money, Best Execution, Cost and charges, conflicts of interest, Transaction reporting, EMIR, SFTR and prudential topics.
*Lead the Compliance advisory team in developing RI/ESG regulatory topics
*Lead the Compliance teams’ oversight and administration of SMCR framework for the firms
*Assist with the provision of information to clients and / or regulators as need be.
*Assist and advise all parts of the business with regulatory investigations and internal audits.
*Act as the Compliance lead for Conduct Risk.
*Provision of advice and guidance on Conflicts of Interest, both arising and ongoing (including PA Dealing, Gifts and Entertainment, Outside Conflicts).
*Preparation and completion of regulatory and client reporting as required.
*Advise the CASS Oversight Team with regards to CASS regulatory developments, processes and procedures.
*Build a close working relationship with Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.
*Oversee the firm’s regulatory reporting to the FCA via Connect and Reg Data as required.
*Perform annual review, oversight and advice in respect of the firms’ regulatory permissions.
*Input and present at 1st line control committees where required.
*Reporting to relevant governance committees including the Global Best Execution committee, Executive Risk committee, Conduct and Conflicts committee and client money oversight committee.
*Deputise for the Head of Compliance at relevant committees and meetings as required.
*Assist Head of Compliance with development of UK Compliance teams and supporting team meeting, objectives etc.
*Assist the Head of Compliance with regulatory liaison.
Team management *Manage a team of 5 direct reports (3 managers) with the responsibility for advising and supporting the business on all aspects relevant to a compliance advisory team for two FCA authorised investment management firms.
*Responsible to undertake all aspects of team management, to include but not limited to directing responsibilities, setting appropriate objectives, providing support and feedback and conducting appraisals.
*Assist in the day-to-day activities of the Compliance Team including required signoffs and approvals.
Continuous improvement and embedding a compliance mind-set *Assist and support the Head of UK Compliance in the maintenance and the ongoing effectiveness and implementation of all compliance policies and procedures across the business.
*Assist and support the Head of UK Compliance in the ongoing maintenance, enhancement, development and operation of compliance training programs and activities for the UK entities so that they remain current and UK employees have appropriate compliance knowledge and awareness.
Contribution to AXA IM governance *In the absence of the Head of UK Compliance, participate in relevant governance committee meetings.
*Provide management information to governance committees and senior management to demonstrate compliance or to highlight issues or trends where appropriate.
*Assist the UK Head of Compliance in providing reports and escalation of issues as required to the UK and Global governance committees as required.
Your Profile
SHARE your unique expertise
We welcome different combinations of skills & experiences.
Your qualifications and experience: *Relevant professional qualification preferable but not essential.
*Asset management experience largely gained in Compliance or Audit functions, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues.
*Good people management experience
*Experience working for a multinational company a plus
Your knowledge and skills: *Good knowledge of UK regulation as applicable in an investment management business servicing both institutional and retail clients.
*Ability to establish and build business relationships.
*Excellent written and verbal communication skills with the ability to effectively communicate with all areas of the business
*Excellent problem-solving skills - demonstrating a collegial and collaborative approach
*Strong sense of integrity and ethics
*Ability to influence boards and senior management as well as investment professionals in compliance matters
*Pragmatic, calm and can-do approach
*Good judgement
*Strong team player
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 ass
22 Bishopsgate, London - Hybrid
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 Senior Compliance Manager, you will report to our UK Head of Compliance, and you will be part of AXA IM Global COO.
DISCOVER your opportunity
To manage the compliance advisory team and act as a senior compliance advisory manager within the UK Compliance Department of AXA Investment Managers’ two regulated entitles and unregulated Real Assets entity (The UK Entities)
Your role and responsibilities will include:
Regulatory compliance *Provision of accurate and timely advice to the UK Entities to facilitate their adherence to compliance standards and requirements and expectations of AXA IM Group and AXA Group, focusing particularly on the front office of the investment management activities of the business including CORE, Alts, Prime and M&LS
*Assist with implementation of regulatory developments, working collaboratively with the business and Global Compliance to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements are executed to a good standard and in a timely manner.
*Assist in projects to provide compliance analysis and review of new business initiatives and developments of AXA IM in the U.K.
*Provision of advice and guidance on regulatory topics such as Market Abuse, Client Money, Best Execution, Cost and charges, conflicts of interest, Transaction reporting, EMIR, SFTR and prudential topics.
*Lead the Compliance advisory team in developing RI/ESG regulatory topics
*Lead the Compliance teams’ oversight and administration of SMCR framework for the firms
*Assist with the provision of information to clients and / or regulators as need be.
*Assist and advise all parts of the business with regulatory investigations and internal audits.
*Act as the Compliance lead for Conduct Risk.
*Provision of advice and guidance on Conflicts of Interest, both arising and ongoing (including PA Dealing, Gifts and Entertainment, Outside Conflicts).
*Preparation and completion of regulatory and client reporting as required.
*Advise the CASS Oversight Team with regards to CASS regulatory developments, processes and procedures.
*Build a close working relationship with Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.
*Oversee the firm’s regulatory reporting to the FCA via Connect and Reg Data as required.
*Perform annual review, oversight and advice in respect of the firms’ regulatory permissions.
*Input and present at 1st line control committees where required.
*Reporting to relevant governance committees including the Global Best Execution committee, Executive Risk committee, Conduct and Conflicts committee and client money oversight committee.
*Deputise for the Head of Compliance at relevant committees and meetings as required.
*Assist Head of Compliance with development of UK Compliance teams and supporting team meeting, objectives etc.
*Assist the Head of Compliance with regulatory liaison.
Team management *Manage a team of 5 direct reports (3 managers) with the responsibility for advising and supporting the business on all aspects relevant to a compliance advisory team for two FCA authorised investment management firms.
*Responsible to undertake all aspects of team management, to include but not limited to directing responsibilities, setting appropriate objectives, providing support and feedback and conducting appraisals.
*Assist in the day-to-day activities of the Compliance Team including required signoffs and approvals.
Continuous improvement and embedding a compliance mind-set *Assist and support the Head of UK Compliance in the maintenance and the ongoing effectiveness and implementation of all compliance policies and procedures across the business.
*Assist and support the Head of UK Compliance in the ongoing maintenance, enhancement, development and operation of compliance training programs and activities for the UK entities so that they remain current and UK employees have appropriate compliance knowledge and awareness.
Contribution to AXA IM governance *In the absence of the Head of UK Compliance, participate in relevant governance committee meetings.
*Provide management information to governance committees and senior management to demonstrate compliance or to highlight issues or trends where appropriate.
*Assist the UK Head of Compliance in providing reports and escalation of issues as required to the UK and Global governance committees as required.
Your Profile
SHARE your unique expertise
We welcome different combinations of skills & experiences.
Your qualifications and experience: *Relevant professional qualification preferable but not essential.
*Asset management experience largely gained in Compliance or Audit functions, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues.
*Good people management experience
*Experience working for a multinational company a plus
Your knowledge and skills: *Good knowledge of UK regulation as applicable in an investment management business servicing both institutional and retail clients.
*Ability to establish and build business relationships.
*Excellent written and verbal communication skills with the ability to effectively communicate with all areas of the business
*Excellent problem-solving skills - demonstrating a collegial and collaborative approach
*Strong sense of integrity and ethics
*Ability to influence boards and senior management as well as investment professionals in compliance matters
*Pragmatic, calm and can-do approach
*Good judgement
*Strong team player
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 ass
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