Compliance Officer

Location CONNECTICUT, UNITED STATES
Experience level Expérimentés
Job details sector Juridique et Conformité

Job Purpose

Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations

Key Accountabilities 

  • Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U.S. Investment Advisor, including integration work
  • Assist the department with ensuring the business meets all requirements of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including, but not limited to the FINRA, CFTC, ERISA
  • Support the local compliance monitoring and testing program and accompanying schedules, perform testing for select trade surveillance oversight (e.g., best execution and fair allocation), prepare summary and management findings for local oversight committees and contribute to annual assessment and other ongoing regulatory requirements
  • Assist with the maintenance of effective compliance policies, procedures and/or manuals across all business lines
  • Assist with internal and select client reporting and filing coordination within the organization and applicable corporate affiliates
  • Assist with the completion and maintenance of SEC and other regulatory filings and disclosure materials
  • Assist with back up as needed for administration of effect Code of Ethics, social media and compliance training / continuing education programs across all business lines
  • Support the local oversight of associated 3rd party due diligence
  • Liaise with the Regional Head of Compliance and the expertise lead in a range of on-going business initiatives and assist as required

Experience and Qualifications

  • Bachelor’s degree
  • 5+ years of working experience for a SEC Registered Investment Adviser 
  • Knowledge of the U.S. Investment Advisor Act 1940 as well as SEC and CFTC Regulations
  • Experience with administering advisory compliance testing and reporting program
  • Strong analytical and problem-solving skills to identify and mitigate problems
  • Ability to research and implement procedures
  • Ability to comprehend legal and policy and procedure guideline documents, as well as regulatory requirements in multiple jurisdictions
  • Strong MS Word, MS Excel and MS PowerPoint skills

Operating environment and context of the role 

  • Ethical and strong sense of integrity
  • Good judgment and ability to identify and escalate regulatory and compliance issues 
  • Organized and detail oriented; ability to multi-task
  • Excellent communication and interpersonal skills
  • Ability to navigate complex and changing environment
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.