Compliance Officer - Puteaux, France - AXA Investment Managers

AXA Investment Managers

Entreprise vérifiée

Puteaux, France

il y a 3 jours

Posté par:

Sophie Dupont

beBee Recruiter

Description

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.

Nous gérons à ce jour plus de 887 milliards d'euros d'actifs.

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