Compliance Officer - Ciudad de México - AXA Investment Managers
Descripción
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 ComplianceDISCOVER 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 ongoing 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 problemsolving 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 multitask
- Excellent communication and interpersonal skills
- Ability to navigate complex and changing environment
About AXA
Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our 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.
We are already entrusted by our clients with more than €887 billion in assets.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.).
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Thrive within a diverse community: play a role within a responsible company that actively recogniz
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