.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 obligationsyour 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