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Compliance Manager

ID: #12173     Date: 14/06/17

Location England, London
Company AXA
Salary by agreement
Job type Permanent

As well as personal development and a competitive salary, we’ll offer a discretionary annual bonus scheme and 28 days holiday. You’ll also get all the impressive perks you would expect from a leading financial services organisation, including a competitive pension scheme, life assurance and private medical insurance. That’s just a few of the many flexible benefits and product discounts that we have to offer.

Sector(s): Financial Services jobs

To be successful in this role you will have in-depth knowledge and understanding of FCA regulatory requirements and their practical application including FCA Handbooks on COND, CASS, COBS, SYSC, COLL and SUP. You will also have an in-depth understanding of FCA expectations and interpretation on treating customers fairly and conduct risk.

You will have an understanding and experience of asset management, including knowledge around UCITS, NURS and AIF fund structures. Ideally, you will also have knowledge around CASS, including governance and oversight arrangements for outsourced providers. Knowledge and experience of financial promotions would be beneficial but not essential.

You will be highly analytical with strong influencing and problem solving skills. You will also possess strong intellect with the ability to grasp new concepts, ideas and technical issues rapidly. You will have strong relationship management skills with the ability to build and manage relationships with key stakeholders. You will also possess excellent written and verbal communication skills, coupled with excellent time management and organisational skills

We are looking for you to be proactive and delivery focused, with a real can do attitude that is flexible and adaptable to changes in a fast paced environment, capable of working effectively as part of a team to deliver on complex projects and initiatives.

Job responsibilities

  • Review compliance and business policies and procedures and maintain under regular review for changes to business operations and/or the regulatory environment
  • Provide appropriate support and guidance regarding compliance and risk matters as determined by business requirements
  • Act as subject matter expert for Architas in respect of relevant EU, UK and other jurisdictions’ legislation and regulations – e.g. UCITS, AIFMD, MiFID & MAR.
  • Interpret complex legislation and regulations as required by Architas – including upon request from Senior Management Team (SMT) members and the Director of Compliance and Legal – and ensure advice is accurate.
  • Ensure relevant employees at all levels of the business are aware of regulatory or legislative changes affecting business operations; and provide clear and timely guidance.
  • Represent the Compliance Dept. at key business committees, as appropriate
  • Proactively communicate with Architas business areas regarding regulatory or legislative changes that affect Architas operations, providing clear, concise and timely guidance
  • Develop and deliver relevant training on compliance policy/requirements to the business
  • Ensure appropriate control standards are adhered to and demonstrated within the Compliance Advisory team
  • Assist with preparation of periodic reporting to the Architas Boards and other reporting to internal governance committees on compliance matters
  • Assist with various monitoring duties; respond to team email inbox queries; review approved persons; review some financial promotion materials; process employee personal account dealing requests; review new fund investments; log and review Transfer Agency breaches.

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Name    AXA

Phone  020 3206 8300

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