Compliance Manager, Funds And Distribution

Compliance Manager, Funds and Distribution

22 Bishopsgate, London – Hybrid 

Permanent Contract 

At 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 and Distribution, you will report to the Senior Compliance Manager, Funds and Distribution, and you will be part of AXA IM General Secretary. 

DISCOVER your opportunity  

The purpose of this role is to provide high quality technical and regulatory advice and support to the business for all of the funds (UCITS and AIFs) which fall under the responsibility of the UK Management Company as well as offshore funds where the firm acts as Distributor. The role will cover any activity or matter which can occur within a fund’s lifecycle, as well as supporting the implementation of any relevant regulatory development. In respect of UK funds, to lead on the application of both SDR and Consumer Duty.

Your role and responsibilities will include:

• To be the primary Compliance point of contact for all technical and regulatory escalations relating to UK UCITS, UK AIFs, and some offshore AIF's. This will include being a key contact for internal queries from a wide range of teams (inc front office, IG, Product, Legal, Risk, Operations) and external teams including UK and Irish Trustee / Depositaries, and Fund Auditors. 
• To provide quality and timely advice, guidance and training to the business in relation to current and emerging regulations in respect of any funds related matter, but in particular UCITS, AIFMD, PROD, ESG, PRIN, and as a critical support for regulatory implementation projects such as ongoing Consumer Duty work, SDR, and the Offshore Funds Regime (per AXA IM UK's role as Distributor). 
• To play a critical role in the support of fund / product changes and updates, working closely with the project function and other business teams (such as Legal, Product, Risk, Operations) to ensure tight deadlines are met and FCA standards are adhered to in the application process.   
• Assist in the development and production of high quality management information, assessments and other reporting to ensure internal governance and external reporting requirements (such as FCA filings) are delivered on time. 
• Assist the business in the periodic review of certain fund related documentation such as Prospectus, KIIDs, Factsheets and other materials from time to time, as well as the maintenance and revision of applicable policies and documents.
• Assist in other team duties as applicable, such as maintenance of the funds breach register and the resolution of FOS complaint correspondence. To be considered as the technical lead within compliance for all regulatory topics relating to sustainability (including SDR) and the Consumer Duty 

SHARE your unique expertise 

We welcome different combinations of skills & experiences. 

Your qualifications and experience:

• Undergraduate degree or an equivalent combination of training and experience
• Significant fund related Compliance experience in an investment management business or equivalent

Your knowledge and skills:

• Knowledge of fund products and operating structures (particularly UCITS and AIF’s), investment strategies and asset classes.
• Knowledge of Trustee / Depositary, Custody, Fund Accounting and Transfer Agency roles and practices desirable. 
• Solid regulatory and technical knowledge and understanding of FCA regulations / ( UCITS, AIFMD,  PROD, PRIN, SDR), and Irish regulations desirable. 
• Excellent verbal and written communication skills and organized approach including strong persuasive and negotiation skills
• Excellent relationship management skills for both internal and external stakeholders.
• Excellent organizational skills, attention to detail, ability to work independently.
• Excellent interpersonal and time management skills.

We would love to know more about you. Let’s connect! Send us your resume.

The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries.

We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management.

Our mission: To act for human progress by protecting what matters

Our values: Customer first, Integrity, Courage and One AXA

At AXA IM we are investing with a clear purpose – to make the world a better place. We act for human progress by investing for what matters. Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative and core asset classes. We are already entrusted by our clients with more than €887 billion in assets.

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AXA IM is an Equal Opportunity Employer, and we encourage candidates with disabilities or any other protected characteristic to apply. We are committed to providing reasonable accommodation to qualified applicants and employees with disabilities, when needed, to apply for a position or to perform essential job functions.

Inclusion and Diversity | Careers | AXA IM Corporate (axa-im.com)

We are committed to offer you an environment where you can:

Grow your potential: Be part of a forward-thinking business with internal opportunities and personalized learning paths available to help constantly develop your skills and abilities.

Shape the way you work: Work for a company which is highly committed to providing flexibility & balance to its employees, offering you a large range of benefits (hybrid working, competitive health benefits, among many others.).

Thrive within a diverse community: Play a role within a responsible company that actively recognizes and values individual differences in a diverse and inclusive workforce.

Move the world forward: Join a responsible employer that acts in favor of societal and environmental causes as an investor, insurer and company, notably through the AXA Heart in Action association. As part of our commitment to sustainability and environmental responsibility, we will celebrate your arrival by planting a tree.