Compliance Manager, Funds & Distribution

AXA

  • London
  • Permanent
  • Full-time
  • 22 days ago
Compliance Manager, Funds and Distribution22 Bishopsgate, London – HybridPermanentAt AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper.As a future Compliance Manager, Funds & Distribution, you will report to our Senior Compliance Manager and you will be part of AXA IM UK Compliance.DISCOVER your opportunityTo provide a key point of contact between UK Sales, Product Specialists, Distribution and Marketing business lines and UK Compliance. The individual will provide strategic input and expertise into the development of the UK Distribution model and the production of marketing materials. The individual will be a critical sponsor and contributor to regulatory projects through to implementation.Your role and responsibilities will include
  • 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.
QualificationsSHARE your unique expertiseWe welcome different combinations of skills & experiences.Your qualifications and experience:
  • 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.
Your knowledge and skills:
  • 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
We would love to know more about you. Let’s connect! Send us your resume.

AXA