Senior Compliance Manager, Compliance Advisory (12 Month FTC)

AXA

5d ago

Job
Full-time
Senior & Expert Level
Legal
London

AI generated summary

You should have asset management compliance experience, strong people management skills, UK regulatory knowledge, excellent communication and problem-solving abilities, and a pragmatic, ethical approach.
You will manage a compliance advisory team, provide regulatory guidance, oversee compliance projects, support investigations, and ensure adherence to standards for UK entities.

Requirements

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
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
Good judgement
Strong team player

Responsibilities

To manage the compliance advisory team and act as a senior compliance advisory manager within the UK Compliance Department of AXA Investment Managers’ two regulated entities and unregulated Real Assets entity (“The UK Entities”)
Provision of accurate and timely advice to the UK 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 including CORE, Alts, Prime and M&LS
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 on regulatory topics such as Market Abuse, Client Money, Best Execution, Cost and charges, conflicts of interest, Transaction reporting, EMIR, SFTR and prudential topics.
Lead the Compliance advisory team in developing RI/ESG regulatory 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 and internal audits.
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 and client reporting as required.
Advise the 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 Reg Data as required.
Perform annual review, oversight and advice in respect of the firms’ regulatory permissions.
Input and present at 1st line control committees where required.
Reporting to relevant governance committees including the Global Best Execution committee, Executive Risk committee, Conduct and Conflicts committee and client money oversight committee.
Deputise for the Head of Compliance at relevant committees and meetings as required.
Assist Head of Compliance with development of UK Compliance teams and supporting team meeting, objectives etc.
Assist the Head of Compliance with regulatory liaison.
Manage a team of 5 direct reports (3 managers) 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 signoffs and approvals.
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.
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.

FAQs

What is the job title for this position?

The job title is Senior Compliance Manager, Compliance Advisory (12 Month FTC).

Where is this position located?

The position is located at 22 Bishopsgate, London, and offers a hybrid work arrangement.

Who will the Senior Compliance Manager report to?

The Senior Compliance Manager will report to the UK Head of Compliance.

What are the main responsibilities of the Senior Compliance Manager?

The main responsibilities include managing the compliance advisory team, providing regulatory compliance advice, overseeing compliance with regulatory developments, and assisting with compliance analysis for business initiatives.

How many direct reports will this position manage?

This position will manage a team of 5 direct reports, including 3 managers.

What qualifications are preferred for this role?

A relevant professional qualification is preferable but not essential, along with asset management experience in compliance or audit functions.

What specific regulatory topics should candidates be knowledgeable about?

Candidates should have knowledge of regulatory topics such as Market Abuse, Client Money, Best Execution, Cost and Charges, and other compliance-related issues.

What skills are important for the Senior Compliance Manager?

Important skills include excellent communication, problem-solving, the ability to influence senior management, strong judgment, and a collaborative approach.

Is prior experience in a multinational company a plus for this position?

Yes, experience working for a multinational company is considered a plus.

What kind of training programs will the Senior Compliance Manager help develop?

The Senior Compliance Manager will assist in the enhancement, development, and operation of compliance training programs for UK entities.

Will there be opportunities for personal development in this role?

Yes, the company is committed to offering internal opportunities and personalized learning paths for skill development.

Does AXA IM support diversity and inclusion in the workplace?

Yes, AXA IM is committed to recognizing and valuing individual differences in a diverse and inclusive workforce.

AXA

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Founded Year

Mission & Purpose

We always start with our customers. As one of the largest global insurers, our purpose is to act for human progress by protecting what matters. Protection has always been at the core of our business, helping individuals, businesses and societies to thrive. And AXA has always been a leader, an innovator, an entrepreneurial company, fostering progress in all its dimensions. Our purpose also links back to the Group's roots. From the outset, AXA has been committed to acting as a force for collective good. From solidarity-based actions with AXA Hearts In Action to work on prevention issues with the AXA Research Fund and the fight against climate change, AXA has always been attentive to its social environment and embraced its responsibility as an insurer: responsibility for taking action upstream in order to better understand risks, with one goal in mind: to ensure better protection.