Senior Compliance Officer

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

Purpose of the job

Seeking an experienced senior compliance officer at a SEC registered investment advisor. The candidate will be responsible for the compliance oversight, administration and testing of a program addressing all global, regional and local policies and procedures, as well as all applicable regulations.

Key Accountabilities / Responsibilities

  • Support the global and regional compliance officers and their respective teams, as applicable, in maintaining the firm’s US and, as applicable, international compliance programs
  • Participate in transversal global and regional AXA IM requirements, initiatives and projects, particularly regarding regulatory change and oversight
  • Advise senior management on critical compliance issues; proactive participation as required on select compliance, risk and other governance committees
  • Maintain and update risk assessment of compliance policies and procedures that drive monitoring and testing plans
  • Implement, maintain and coordinate the periodic risk based compliance testing program, including calendar, control matrix, testing matrix, and select forensic testing, as well as documentation support for such activities
  • Lead all required third party oversight and assessments, including data privacy controls
  • Prepare monthly and quarterly management / committee reporting, as well as coordinating the required annual compliance assessment
  • Assist with the administration of Participating Affiliate Arrangements and the accompanying oversight obligations involving non-US affiliates
  • Participate in special projects for compliance program implementation on the local, regional and global levels

Qualifications

  • Advanced knowledge of the Investment Advisers Act, Investment Company Act and applicable SEC, CFTC/NFA, FINRA and ERISA regulations required
  • Strong understanding of various asset classes, including real estate, investment grade and high yield corporate bonds, and structured finance
  • Knowledge of non-US regulatory requirements preferred – (e.g., FCA, AMF, MIFID II)
  • Demonstrated compliance, operations or legal experience within a financial services organization – prefer investment management

Experience

  • Minimum 7 years’ experience in a similar role(s) in support of investment management operations, legal, or compliance program in the financial services industry, consulting firm or regulatory agency
  • Undergraduate degree required; Bachelor's degree in business administration, finance, or related subject preferred

Technical Skills

  • Ability to research and implement procedures for local and international compliance programs
  • Strong analytical and problem solving skills to identify and mitigate problems
  • Enhanced understanding and practical application of SEC requirements and the Investment Advisers Act
  • Strong organizational and project management skills
  • Excellent communication skills – strong written skills
  • Ability to comprehend legal and guideline documents, as well as regulatory requirements in multiple jurisdictions
  • Strong Word, Excel and PowerPoint skills
  • Ability to multi‐task with high levels of accuracy

Personal Skills

  • Good judgment and ability identify issues and escalate
  • Organized and detail oriented
  • Self-starter
  • Proactive – provides effective solutions
  • Capacity to influence and convince
  • Strong ethical values
  • Ability to navigate complex/ 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.