Job Description: Compliance Officer 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 Officer, you will report to Regional Head of Compliance, Americas and you will be part of AXA IM Compliance. DISCOVER your opportunity Compliance officer that will be responsible for supporting the regional compliance program and related regulatory obligations. Your role and responsibilities will include: Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U.S. Investment Advisor, including integration work Assist the department with ensuring the business meets all requirements of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including, but not limited to the FINRA, CFTC, ERISA Support the regional compliance monitoring and testing program and accompanying schedules, perform testing for select trade surveillance oversight (e.g., best execution and fair allocation), prepare summary and management findings for regional oversight committees and contribute to annual assessment and other ongoing regulatory requirements Assist with the maintenance of effective compliance policies, procedures and/or manuals across all business lines Assist with internal and select client reporting and filing coordination within the organization and applicable corporate affiliates Assist with the completion and maintenance of SEC and other regulatory filings and disclosure materials Assist with back up as needed for administration of effect Code of Ethics, social media, and compliance training / continuing education programs across all business lines Assist with the AML, KYC and financial crime monitoring processes Support the regional oversight of associated 3rd party due diligence Liaise with the Regional Head of Compliance and the expertise lead in a range of on-going business initiatives and assist as required Your Profile SHARE your unique expertise. We welcome different combinations of skills & experiences. Your qualifications and experience: Bachelor's degree 5 years of working experience for a SEC Registered Investment Adviser Knowledge of the U.S. Investment Advisor Act 1940 as well as SEC and CFTC Regulations Experience with administering advisory compliance testing and reporting program Strong analytical and problem-solving skills to identify and mitigate problems Ability to research and implement procedures Ability to comprehend legal and policy and procedure guideline documents, as well as regulatory requirements in multiple jurisdictions Strong MS Word, MS Excel and MS PowerPoint skills Ethical and strong sense of integrity Good judgment and ability to identify and escalate regulatory and compliance issues Organized and detail oriented; ability to multi-task Excellent communication and interpersonal skills Ability to navigate complex and changing environment We would love to know more about you. Let's connect. Send us your resume. About AXA AXA strives to lead the transformation of the industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA – a leading global brand and one of the most innovative companies in our industry – onto even greater things. In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers. About the Entity 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. 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. What We Offer 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. AXA Investment Managers (AXA IM) est un investisseur global et multi actifs. Notre philosophie d'investissement est axée sur une gestion responsable. J-18808-Ljbffr
