Senior Compliance Advisory Manager

Location UNITED KINGDOM
Experience level Experienced Hire
Job details sector Legal and Compliance

Regulatory compliance

  • Provision of accurate and timely advice to the UK Regulated 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.
  • 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 regarding Market Abuse, Client Money, Best Execution, Transaction reporting, EMIR, SFTR, and prudential 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.
  • 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 reporting as required.
  • Advise the CF10a and their 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 Gabriel as required
  • Perform annual review and oversight, advice in respect of the firms regulatory permissions
  • Reporting to relevant governance committees including the best execution committee, conduct risk committee and client money oversight committee
  • Deputise for the Head of Compliance at relevant committees and meetings as required.

Team management

  • Manage a team of 3 direct reports 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 sign-offs 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.

Education/Qualifications

  • Relevant professional qualification preferable but not essential.

Experience

  • 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

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

Competencies

  • 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
Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.

In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.

We are an active, long-term, global, multi-asset investor focused on enabling more people to harness the power of investing to meet their financial goals. By combining investment insight and innovation with robust risk management we have become one of the largest asset managers in Europe, managing €746bn in assets as of the end of 2017. We employ about 2,400 people around the world and operate out of 21 countries.

We are proud to foster a high-performance culture, which means that we seek to recruit and retain people who are not only technically-skilled but also globally-minded, innovative and able to leverage their unique perspectives and life experiences to support our success as a company.

AXA IM is committed to building an inclusive culture, valuing diversity and supporting the career progression of all employees.