Compliance Manager, Funds & Distribution
AXA
- London
- Permanent
- Full-time
- To be a key Compliance point of contact providing advice and guidance for technical queries and regulatory matters relating to onshore and offshore distribution and marketing.
- To be a key contributor to the Distributor oversight framework.
- To be a key Compliance contributor to regulatory change implementation projects, in particular for this year, key deliverables being the UK’s Sustainability Disclosure Requirements and the Offshore Funds Regime.
- Provide training to the business in relation to current and emerging regulations in respect of onshore and cross-border distribution and marketing across multi product and asset classes, and fund regulatory topics where required.
- To sponsor the development of workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.
- Assist in the development of management information to track marketing approvals and assess the effectiveness of the Distribution teams in producing quality documentation for Governance purposes.
- Assist the team in broader responsibilities related to oversight of the UK fund range and managing external Depositary relationships.
- Assist in the maintenance and revision of applicable policies and documents.
- Degree or relevant industry qualifications
- Proven technical distribution and financial promotions Compliance experience, preferably gained in a multi-asset asset management or equivalent environment, up to senior level.
- Significant experience of Compliance contribution and delivery to relevant regulatory change projects.
- Knowledge of overseas distribution requirements, FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing, knowledge of ESG practices relating authorised funds desirable.
- Energetic personality with the drive to effect change and develop relationships across all levels of the organisation.
- Strong written and verbal communication skills
- Strong analytical skills
- Able to produce training material which interprets FCA rules into simple English.
- Able to use initiative, work unsupervised and comfortable taking responsibility