- Axa Investment Managers
- London, United Kingdom
- 11 Aug 2022
- 31 Aug 2022
- Job Function
- Industry Sector
- Finance - General
- Employment Type
- Full Time
To act as Compliance Analyst for AXA Investment Manager's 2 UK regulated entities.
- Member of the UK Compliance Investment Advisory team, providing support on the Advisory team in their responsibility for the provision of pragmatic compliance advice to business partners in relation to the Firms' code of ethics activities and, where applicable, investment processes.
- Assisting in day to day compliance administration and oversight of local regulatory requirements, including the responsibility for management of the Firms' Restricted List, Code of Ethics (CoE) tool and all CoE topics.
- Maintenance of the compliance CoE breach register, production of and presentation of the compliance conduct report to the Conduct Risk Committee, investment expertise and trading teams.
- Support the Senior Compliance Monitoring officer in carrying out Compliance surveillance activity, including but not limited to market abuse, best execution, telephone recording, electronic communication surveillance and manual allocations.
- Support the Advisory team in the production of compliance management information and the completion of client attestations.
- Administer the compliance responsibilities for the new joiner process, including the compliance induction and maintain the new joiners and leaver log.
- Providing assistance in updating and continuous development of local policies and procedures.
- Providing support to other areas of UK Compliance that may be required on an ad-hoc basis.
- Support the Senior Advisory Compliance Manager on relevant projects and initiatives as agreed with the Compliance Advisory Manager.
- Experience of working in compliance department within an asset management background
- Good communication skills, both oral and in writing, with the ability to work on multiple tasks simultaneously
- A pragmatic and common sense approach to problem solving
- Team player
- Good judgement
- Ability to work independently once allocated a task