Compliance Manager, Compliance Advisory
Knowledge and Skills
- Responsible for the management and oversight of the firms SMCR framework and related policies and procedure, including regular training to all in scope in employees. Where relevant look to make improvements to the framework and related operational setup including regularly liaising with the firms HR team.
- Oversee the firms CASS framework including the updating and oversight of the firms CASS breaches register.
- Oversee the UK Code of Ethics programme and work closely with other team members in production of relevant management information and KPI's. Where possible look to make enhancements and where feasible look to better utilise technology solutions.
- Manage, reply and oversee the UK's Compliance input into the firm's Global New Business Committee including the attendance of relevant Committee meetings.
- Development, manage and maintain a new tracker to monitor and oversee all FCA Reg Data filings and liaise with relevant areas of the business e.g., Finance team
- Manage, oversee, and improve (including looking at automating) the quarterly Attestations and Certifications programme. This will include liaising with relevant AXA IM entities overseas where necessary.
- Develop, maintain, and improve the way we respond and track all UK regulatory responses for RFP questionnaires and client due diligence meetings. a
- Maintain a register of all 'Advisory' Compliance policies including the review process and associated updates.
- 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.
- Maintain, develop, and enhance the relevant Compliance areas relating to the firm's new starters processes, including presenting the firms Compliance induction, and ensuring new employees are tracked within relevant Compliance records.
- Work closely with the UK based Client Distribution team on a range of topics and assist with Compliance related client queries for example Costs and Charges etc.
- Build a close working relationship with all relevant Investment Teams across the business (UK and globally) and Compliance colleagues in various global locations.
- Provide ad-hoc training and information to relevant staff and maintain required records.
- Assist with the production of the UK regulatory tracker and research relevant regulatory topics as necessary
- Assist with the provision of information to clients and / or regulators as need be.
- As required, 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 Senior Compliance Advisory Manager in providing reports and escalation of issues as required to the UK Head of Compliance.
- A professional qualification would be preferable but not essential.
- Around 5-7 years asset management experience largely gained in a Compliance or control function, ideally within an investment management environment with exposure and familiarity to a wide range of Business and Investment Compliance topics relating to the managing of both retail and institutional clients (including a range of fund structures).
Knowledge and Skills
- Good knowledge of UK regulation as applicable in an Investment Management business servicing both institutional and retail clients
- Strong experiencing of managing or implementing the SMCR regime
- Knowledge of the CASS requirements
- Strong interest in business Compliance topics with coupled with strong Investment Compliance experience
- Strong understanding of the FCA's 'Conduct Risk' agenda
- The ability to build business relationships
- Good communication skills, both oral and in writing,
- Demonstrable experience of problem solving and ability to communicate effectively with all areas of the business.
- Strong sense of integrity and ethics.
- Ability to influence boards and senior management as well as investment professionals in compliance matters.
- Collegial and collaborative approach to problem solving.
- Maturity and drive.
- Pragmatic, calm and with a 'can do' approach to work.
- Good judgement.
- Able to manage and deal with multiple topics.