Compliance Manager, Compliance Advisory
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, you will report to our Senior Compliance Manager, and you will be part of AXA IM Global General Secretary.
DISCOVER your opportunity
To act as the UK Compliance Advisory specialist within AXA Investment Manager’s UK regulated entities with a focus on Alternative (including Real Assets) and Prime expertise.
Your role and responsibilities will include:
- Be the UK Compliance Advisory team representative for the Alternatives and Prime expertise in the UK covering Real Estate, Infrastructure debt, Infrastructure equity, private equity, private debt and hedge funds.
- Provision of accurate and timely advice and training to the UK Regulated Entities to facilitate their adherence to UK Compliance policies and Global standards, focusing particularly on the front office investment management activities of the expertise.
- Identify regulatory changes in relevant business area 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 need be.
- 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.
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
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.
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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)
SHARE your unique expertise
We welcome different combinations of skills & experiences.
Your qualifications and experience:
- 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.
Your knowledge and skills:
- Thorough understanding of the Investment Management business servicing both institutional and retail clients with a particular focus on alternative investments.
- Technical regulatory expert (with previous experience) of Real Assets, Alternative and Private Equity Investment management regulation
- The ability to build business relationships with senior stakeholders.
- Effectively work with and challenge the business where required.
- Excellent verbal and written communication skills with the ability to effectively communicate with all areas of the business.
- Excellent problem-solving skills taking a collegial and collaborative approach.
We would love to know more about you. Let’s connect! Send us your resume.
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.