Head of Compliance Luxembourg
AXA Investment Managers
Luxembourg - Luxembourg
il y a 20j

Position : Permanent Position Department : Legal and Compliance We are an active, long-term, global, multi-asset investor focused on enabling more people to harness the power of investing to meet their financial goals.

By combining investment insight and innovation with robust risk management we have become one of the largest asset managers in Europe, managing €679bn in assets as of the end of June 2016.

We employ about 2,400 people around the world and operate out of 22 countries.

The job holder is responsible for administering compliance processes, promoting the compliance culture and advising senior management and business lines across the company (AXA Funds Management) and its delegates.

Key Accountabilities :

Compliance control framework :

  • Defining the compliance control and monitoring plan and escalating major risks and issues to senior management. Identifying and implementing improvement of compliance controls.
  • Improving processes on internal compliance with a focus on AXA IM Group wide standards and policies

  • Overseeing the compliance controls within the Delegates and Services Providers, including periodic reviews of their general compliance framework and Anti-
  • Money Laundering (AML) arrangements

  • Acting as AML Officer : responsible for the AML framework of the Company
  • Acting as Data Protection Officer : responsible for the data privacy framework of the Company
  • Keeping up to date and regularly reviewing Company’s policies and procedures
  • Ensuring that the Funds and the Company are managed and operate in compliance applicable rules and regulations and with AXA IM Group standards, and that the compliance framework is adequate
  • Preparing and presenting compliance reporting for senior management, Boards of Directors, governance and risk committees, AXA IM Group and the regulator

  • Management responsibilities for directly subordinate employees
  • Advisory and promotion of the Compliance culture :

  • Giving guidance and advice to the senior management, but also to other departments
  • Coordinating and implementing compliance training program for employees, new joiners and senior management
  • Ensuring that the best interests of investors are preserved
  • Fund’s and Company’s compliance :

  • Assessing the compliance aspects of the product approval and review process
  • Overseeing the Investment Compliance activity
  • Participating or leading projects linked to regulatory changes
  • Coordinating the regulatory watch of the Company, including communication and implementation
  • Being an active member of the Global and Regional Compliance function
  • Perform other tasks and projects as assigned from time to time
  • Role Requirements :

    Education / Qualifications :

  • University degree in a relevant field or equivalent
  • Experience :

  • Proven experience working in the fund industry within a senior Compliance function, preferably in Luxembourg
  • Experience interfacing with a regulator
  • People management experience is preferred
  • Knowledge and Skills :

  • English and French : fluent. Other languages : an advantage
  • Very good and transversal command of compliance duties of the asset management industry
  • Robust knowledge of the regulatory framework applicable to Luxembourg funds and Management Companies (UCITS and AIFMD)
  • Good command of computer skills (Excel, Word, Power Point, Outlook)
  • Capacity to communicate effectively and convince others, both internally and externally (verbal and written)
  • Competencies :

  • Organised and capable to work under pressure and independently
  • Good team relationship, initiative spirit in a multicultural environment
  • Good communication skills
  • Attentive to details, flexible, capable of prioritizing tasks and exercising sound judgment and creativity in finding solutions and improvements
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