Compliance Officer - Code of Ethics

Experience level Expérimentés
Job details sector Juridique et Conformité

Job Purpose

Seeking a compliance officer responsible for supporting the Code of Ethics programs on a transversal basis for multiple US branches and affiliated investment advisory firms.

Key Accountabilities

  • Administer a Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations
  • Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms. Includes, Conflicts of Interest management, gifts and entertainment reporting, outside business activities and political contribution activities
  • Responsible for the development of the regional compliance training program, including all new hire training, annual staff training, ad-hoc regulatory training and other continuing education programs
  • Assist with the development of specific aspects of the compliance oversight and monitoring program related to the operation of SEC registered investment advisors
  • Assist the local CCOs and other Compliance staff with ensuring the business meets all requirements of the Rules and Regulations of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including, but not limited to the CFTC, ERISA and GDPR
  • Responsible for the maintenance of effective compliance policies, procedures and/or manuals across all business lines
  • Assist with the internal reporting and filing coordination within the organization and applicable corporate affiliates
  • Assist with the completion and maintenance of SEC / Regulatory filings and disclosure documents
  • Responsible for the review and approval of staff communications including e-mail and other electronic means, as well as producing all applicable internal and external reporting requirements.

Role Requirements


  • Bachelor’s degree
  • Knowledge of the Investment Advisers Act and applicable as well as SEC and FINRA regulations required
  • Knowledge of European and other non-US regulatory requirements preferred


  • 3-5 years of working experience for a SEC Registered Investment Adviser within the compliance function
  • Demonstrated compliance, operations or legal experience within a financial services organization
  • Experience dealing with U.S. Securities regulators preferred
  • Experience with compliance testing and reporting

Knowledge and Skills

  • Strong analytical and problem-solving skills to identify and mitigate problems
  • Enhanced understanding and practical application of SEC requirements and the Investment Advisers Act
  • Ability to research and implement procedures for global program
  • Ability to comprehend legal IMA and guideline documents and regulatory requirements in multiple jurisdictions
  • Strong Excel and PowerPoint skills
  • Ability to multi‐task with high levels of accuracy


  • Strong organizational and project management skills
  • Excellent communication and written skills
  • Good judgment and ability to identify issues and escalate
  • 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.