Compliance Manager, Compliance Advisory

Job Description

Compliance Manager, Compliance Advisory 22 Bishopsgate, London - Hybrid Permanent Contract 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 the Senior Compliance Manager, and will be part of AXA IM General Secretary. DISCOVER your opportunity To act as Compliance Manager within AXA-IMs 2 UK regulated entities. Your role and responsibilities will include:

• Provision of accurate and timely compliance advice to the UK Regulated Entities to facilitate their adherence to applicable regulation, compliance policies and global compliance standards.
• Interpret new and updated regulation impacting the business and to provide appropriate information and advice to key business stakeholders.
• Assist with the 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 standardand 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 regarding transaction reporting topics such as UK MIFIR, UK EMIR and UK SFTR and represent UK Compliance at internal working groups providing accurate and timely regulatory advice on upcoming regulatory changes.
• Populate required transaction reporting breach forms for submission to the FCA.
• The lead UK compliance contact for all matters related to the CORE investment expertise.
• Provide accurate and timely advice to the TSFD trading desk covering asset classes such as Equity, Fixed Income, ETDs, OTC derivatives, FX and securities financing.
• Assist the Senior Compliance Manager and Head of UK Compliance in the provision of management information to governance committees and senior management to demonstrate compliance or to highlight issues or trends where appropriate.
• Advise on regulatory topics related to Conflicts of Interest (both arising and ongoing), investment research and corporate access.
• Assist the Senior Compliance Advisory manager in leading the day-to-day activities of the Compliance Advisory Team including required sign-offs and approvals.
• Provide advice and guidance with regards to US Participating Affiliate Arrangements.
• Provide training and information to relevant staff and maintain required records.
• Assist with the provision of information to clients, internal audit and / or regulators as need be.
• Assist the Senior Manager and Head of UK Compliance in the development of robust compliance processes and procedures.
• Build a close working relationship with Compliance colleagues in various global locations

Your ProfileSHARE your unique expertise Your qualifications and experience:

• Proven asset management experience largely gained in a compliance or audit function, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues
• Relevant industry qualification or degree

Your knowledge and skills:

• The ability to build business relationships
• Good communication skills, both oral and in writing, with the ability to work across different jurisdictions
• A pragmatic and common-sense approach to solving business problems.
• Ability to influence boards and senior management as well as investment professionals on compliance matters
• Flexible team approach
• Good judgement
• Good knowledge of UK regulation as applicable in an Investment Management business servicing both institutional and retail clients
• Strong sense of integrity and ethics

We would love to know more about you. Lets connect! Send us your resume. About AXAThe 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 EntityAt 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 acrossalternative 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 OfferWe 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 environmentalresponsibility, we will celebrate your arrival by planting a tree.