Senior Manager, Regulatory Risk and Review
To assist the UK Head of Compliance with the design, implementation and identification of a regulatory risk-based Compliance Monitoring Programme.
Regulatory Risk Assessment and Review
- Responsible for preparation and maintenance and Regulatory Risk Assessment
- Quarterly review of the Regulatory Risk Assessment and reporting to the relevant Governance Committee
- Annual review of the Regulatory Risk Assessment and presentation to the UK Risk Committee
- Responsible for preparation of programme of regulatory reviews based on the regulatory risk assessment.
- Execute the regulatory review programme providing timely and accurate reports for the review and approval of the UK Head of Compliance.
- Reporting results of the regulatory reviews to the relevant Executive level UK Governance Committee and the UK Risk Committee (by exception)
- Track and confirm appropriate resolution and completion of actions for the business arising from regulatory reviews.
- Liaise with other control functions, including Risk and Global Internal Audit, to maximise efficiencies of independent assurance function reviews performed across the business.
- Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend changes to the regulatory revie programme for the approval of the UK Head of Compliance.
- Working with the Compliance Advisory team, responsibly within Compliance for the tracking, monitoring and assessment of regulatory developments for the UK business, updating the regulatory risk assessment as required.
- Contribute to the Compliance training provided by UK Compliance to the business, including presentation of training content.
- Actively participate in local UK Compliance team meetings and Global Compliance meetings of Senior Managers, enabling sharing of information and open lines of communication, locally and globally.
Experience and Qualifications
- Ideally educated to degree level
- Ideally holder of ICA or similar industry specific qualifications, i.e.. Compliance Diploma.
- UK asset management compliance or audit experience
- Excellent compliance monitoring or audit experience and skills required
- Significant experience of development and execution of risk based compliance monitoring or audit
- Good experience of current industry best practice
- Experience of effective problem solving taking a collegial and collaborative approach
Knowledge and skills
- Excellent report writing skills
- Excellent written and verbal communication skills with the ability to effectively communicate with all areas of the business
- Strong presentation skills
- Technical knowledge and understanding of the FCA rule book
- Excellent interpersonal and negotiating skills
- Excellent time management skills
- Excellent organisational skills
- Proficient in the use of Microsoft office
- Strong sense of integrity and ethics
- Ability to lead change through influence
- Professional, pragmatic, calm and can do approach
- Ability to work independently but also to work effectively in a team
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.
AXA Investment Managers (AXA IM) is a responsible asset manager, actively investing for the long-term to help its clients, its people and the world to prosper. Our high conviction approach enables us to uncover what we believe to be the best global investment opportunities across alternative and traditional asset classes, managing approximately €866 billion in assets as at the end of June 2021.
AXA IM is a leading investor in green, social and sustainable markets, managing €568 billion of ESG-integrated, sustainable and impact assets as at the end of June 2021.
We are committed to reaching net zero greenhouse gas emissions by 2050 across all our assets, and integrating ESG principles into our business, from stock selection to our corporate actions and culture. Our goal is to provide clients with a true value responsible investment solution, while driving meaningful change for society and the environment.
At end of June 2021, AXA IM employs over 2,488 employees around the world, operates out of 26 offices across 20 countries and is part of the AXA Group, a worldwide leader in insurance and asset management.
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.