Compliance Officer
il y a 6 jours
Key Accountabilities
Conduct:
- Assist the Conduct Specialist in particular on:
- Be responsible of Conduct Global Standard across AXA IM
- Ensure compliance of the entity(ies) with AXA Group Standard, Policy and Conduct requirements
- Contribute to the development and implementation of Conduct
- Participate in raising awareness and training teams on Conduct
- Liaise with relevant Business Teams and local controls to identify review and monitor local Conduct priorities
- Advising on Conduct matters
- Responsible for the reporting to the AXA IM Conduct Committee, Senior management and Group
- Responsible for collecting and formalizing the Conduct Dashboard, followup action plan derived from tolerance levels
Ethics:
- Develop, validate and distribute informations, internal reference documents and ethical standards to be respected within the company (compliance program, practical guide, internal policies, procedures, reports, training materials and tools, etc.) on AXA IM ethical matters (Gifts, Professional Event, Personal Trades and OBA) ;
- Lead the discussions with internal and external experts on sensitive ethical issues ;
- Ensure the monitoring of KPIs & controls, generating reports to management and support to ABC and Conduct ;
- Propose, implement and followup of the necessary preventive or corrective actions ;
- Communication and deployment of Ethics and Compliance rules and procedures to employees ;
- Participate in raising awareness and training teams, as well as monitoring the Ethics training plan and topics such as insider trading, anticorruption, professional ethics, etc ;
- Participate in Elearnings campaigns to new joiners and yearly employees updates ;
- Participate in the integration of new rules and/or entities into the StarCompliance tool ;
- BAU of the Continental Europe scope.
Other tasks:
- Contribute to the Risk & Compliance governance
- Advise management and employees on compliance issues; provide timely and relevant compliance guidance to business partners and at governance committees
- Assist, as needed, with client requests, regulatory requests, and other compliance related projects and ensure back up of other members of the Compliance team as needed
- Contribute to quarterly and/or monthly and/or adhoc internal/external compliance reports
- Perform other tasks
Votre Profil
Education/Qualifications
- Demonstrated compliance, operations or legal experience within a financial services organization preferably investment management
Experience
- Successful experience in a similar role(s) in support of operations, legal or compliance program; experience in asset management (players, products and markets) would be an advantage
Knowledge and Skills
- Knowledge of the [Relevant Regulations, ESMA, EBA, Sapin 2...] regulations.
- Strong analytical and problem solving skills to identify and mitigate problems in a collegial and collaborative approach
- Strong organizational and project management skills, ability to multitask with high levels of accuracy
- Excellent communication skills strong written skills; fluent in French and English
- Ability to lead change through influence
- Ability to comprehend legal IMA and guideline documents and regulatory requirements in multiple jurisdictions
Competencies
- Good judgment and ability identify issues and escalate
- Well organized and detail oriented; rigorous, strong discipline in the conduct of work
- Proactive provides effective solutions
- Strong ethical values / Self motivated and autonomous; commitment to ethics and integrity
- Strong capacity to influence and convince in a complex and changing international environment
- Ability and willingness to go beyond the immediate reach of responsibilities
A propos d'AXA
Le Groupe AXA est un leader mondial de l'assurance et de la gestion d'actifs, avec collaborateurs au service de 105 millions de clients dans 62 pays.
Nous protégeons et conseillons nos clients à chaque étape de leur vie, en proposant des produits et services qui répondent à leurs besoins dans les domaines de l'assurance, de la prévoyance, de l'épargne et de la gestion des actifs.
Notre mission :
Agir pour le progrès humain en protégeant ce qui compte
Nos valeurs :
Customer first, Intégrité, Courage et One AXA
A propos de notre entité
Grâce à notre approche de conviction, nous sélectionnons les investissements en actions, obligations, alternatifs et dans les stratégies multi-actifs qui recèlent selon nous des meilleures opportunités à l'échelle internationale.
Page d'accueil | AXA IM FR (axa-)
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