AXA Investment Managers (AXA IM) is a responsible asset manager, actively investing for the long-term to help its clients, its people and the world to prosper. Our high conviction approach enables us to uncover what we believe to be the best global investment opportunities across alternative and traditional asset classes, managing €844 billion in assets as of December 2023.
AXA IM is a leading investor in green, social and sustainable markets, managing €480 billion of ESG-integrated, sustainable and impact assets at the end of December 2023.
We are committed to reaching net zero greenhouse gas emissions by 2050 across all our assets, and integrating ESG principles into our business, from stock selection to our corporate actions and culture. Our goal is to provide clients with a true value responsible investment solution, while driving meaningful change for society and the environment.
At end of December 2023, AXA IM employs over 2,700 employees around the world, operates out of 26 offices across 18 countries and is part of the AXA Group, a worldwide leader in insurance and asset management.
Description of the department
The UK Compliance Advisory team provides timely advice and support to AXA Investment Manager’s regulated entities in the UK. The Senior Compliance Manager heads the team and reports into the UK Head of Compliance. The main responsibilities of the role:
Assist in the preparation of the firm’s risk-based surveillance monitoring programme (including Market Abuse and Best execution) under guidance from the Senior Compliance Manager and Senior Compliance Monitoring Officer. Conduct compliance surveillance and monitoring controls by performing detailed documented investigations in accordance with defined procedures. Liaise with portfolio managers, traders and first line controls’ teams (verbally and via email) to determine the rationales/reasons for exceptions selected for review, and identify possible issues with the records being kept/processes undertaken against UK regulations and industry best practice. Provide timely and accurate surveillance and monitoring reports to the Senior Compliance Surveillance Officer for review. Assist with the development and maintenance of UK Compliance Department policies and procedures. Contribute to wider Compliance Advisory team activities as required including for example Code of Ethics, Star Compliance and Attestations. Update surveillance test procedures and control sheets. Education/Qualifications
Undertaking a Bachelor degree Competencies
Proficiency with Microsoft Office such as Word, Excel & PowerPoint. Keen interest in a career in Compliance, regulations and Investment Management activities. Good verbal and written communication skills with the ability to effectively communicate. Strong sense of integrity and ethics. Collegial and collaborative approach to problem solving. Self-motivator and enthusiastic. Proactive and uses initiative. Pragmatic, calm and can-do approach.
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The UK Compliance Advisory team provides timely advice and support to AXA Investment Manager’s regulated entities in the UK. The Senior Compliance Manager heads the team and reports into the UK Head of Compliance. The main responsibilities of the role:
Assist in the preparation of the firm’s risk-based surveillance monitoring programme (including Market Abuse and Best execution) under guidance from the Senior Compliance Manager and Senior Compliance Monitoring Officer. Conduct compliance surveillance and monitoring controls by performing detailed documented investigations in accordance with defined procedures. Liaise with portfolio managers, traders and first line controls’ teams (verbally and via email) to determine the rationales/reasons for exceptions selected for review, and identify possible issues with the records being kept/processes undertaken against UK regulations and industry best practice. Provide timely and accurate surveillance and monitoring reports to the Senior Compliance Surveillance Officer for review. Assist with the development and maintenance of UK Compliance Department policies and procedures. Contribute to wider Compliance Advisory team activities as required including for example Code of Ethics, Star Compliance and Attestations. Update surveillance test procedures and control sheets. Education/Qualifications
Undertaking a Bachelor degree Competencies
Proficiency with Microsoft Office such as Word, Excel & PowerPoint. Keen interest in a career in Compliance, regulations and Investment Management activities. Good verbal and written communication skills with the ability to effectively communicate. Strong sense of integrity and ethics. Collegial and collaborative approach to problem solving. Self-motivator and enthusiastic. Proactive and uses initiative. Pragmatic, calm and can-do approach.
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