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.
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.
Relevant professional qualification preferable but not essential.
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
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
Strong team player