• Assist in the development of robust processes and procedures within Compliance that support business development and are in line with applicable regulatory requirements.
• Provide advice to Local Compliance and Business teams, notably interpreting rules and Standards and providing appropriate information and guidance to enable Compliance and Business teams to establish compliant procedures.
• Lead or participate in projects aiming to develop or maintain global compliance tools across AXA IM group with the support of Technology teams and other stakeholders or assist other members of the Global Compliance team in these projects.
• Identify areas of emerging regulation, participate in the implementation of processes to comply with new regulation and communicate them to key business stakeholders and Local Compliance teams.
• Assist in the provision of information to governance committees and senior management to demonstrate compliance and/or to highlight issues or trends where appropriate.
• Assist with the provision of information to clients and / or regulators when required.
• Provide periodical reports to AXA Group with regards to AXA IM Compliance setup.
• Administer and update AXA IM standards as needed, notably the ones concerning Sales and Marketing activities, AML/KYC, Sanctions, Approval or Marketing Materials, Client Categorization and Suitability, etc.
• Evaluate whether the measures implemented within AXA IM regulated entities are relevant and appropriately exercised to address relevant risks.
• Address non-compliance situations by providing guidance and searching for solutions.
• Represent the Global Compliance function in regular or ad hoc committees as needed.
• Ensure awareness / training of all AXA IM teams on regulatory issues or good practices, including by implementing e-learning tools.
• Check the adequacy of standards and processes at all time and assist in their development or updating them with the local Compliance teams support.
Experience and Qualifications
• Relevant experience, preferably within the Asset Management industry
• Relevant industry qualification or degree
• Ability to research and implement procedures with global reach
• Strong analytical and problem-solving skills to identify and mitigate problems
• Good understanding of regulatory requirements and their practical application
• Strong organizational and project management skills
• Good communication skills, both oral and in writing, with the ability to work across different jurisdictions and with stakeholders across different parts of the firm
• Good language skills in English. French language skills would be a plus.
• Good judgment and ability identify issues and escalate them as appropriate
• Pragmatic and common-sense approach to solving business problems
• Self-starter with ability to multi-task
• Ability to build business relationships
• Proactive – provides effective solutions
• Capacity to influence and convince
• Strong ethical values
• Ability to navigate complex/ changing environments