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Compliance Officer

Luxembourg, Luxembourg | AXA Rosenberg

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    Legal / Compliance
  • Experience:
Job Description:
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The job holder is responsible for administering compliance and investment guidelines processes, promoting the compliance culture and advising senior management and business lines across the company (AXA Funds Management) and its delegates.

More widely, he/she helps the Head of Compliance Lux ensuring that the compliance activities of the company are performed and developed in accordance with local regulation, best practices and internal standards and policies.

Missions

Compliance control framework

• Execution of the compliance control and monitoring plan (incl. AML related topics) and escalating to direct superior. 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 network, including periodic reviews of their general compliance framework and Anti-Money Laundering (AML) arrangements

• 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 of applicable rules and regulations and with AXA IM Group standards, and that the compliance framework is adequate

• Preparing regular and ad hoc compliance reporting for senior management, Boards of Directors, governance and risk committees, AXA IM Group, CSSF and CNPD

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

Fund’s and Company’s compliance

• Assessing the compliance aspects of the product approval and review process

• Overseeing the Investment Compliance activity and providing advice upon the interpretation of rules

• 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

QUALIFICATIONS

Education/Qualifications

• University degree in a relevant field or equivalent

Experience

• Proven experience working in the fund industry within a 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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