Background
To maintain and develop compliance standards through the provision of compliant advice and guidance and regulatory monitoring of investment activities .
The role
1. Policy Ø Actively contribute to development of compliance policy and standards. Follow existing policy in providing support to the business without oversight. 2. Controls Ø Follows controls standards set for Compliance Advice with limited oversight or guidance from senior colleagues. Identifies where changes are required or improvements can be made. Ø Represent Business Risk in working parties and design forums. 3. Advice, Project Work and Monitoring Ø With appropriate input and oversight from more experienced colleagues, provide support and compliance guidance to projects and working parties in relation to new products and initiatives. 4. Development Ø Shares specialist compliance knowledge with colleagues in Compliance Advice, supporting less experienced colleagues as required. 5. Relationship Management Ø Develop and maintain effective relationships and liaise with internal and external customer including 3rd parties and other AXA business units, as required. Ø Communicate with staff at all levels regarding regulatory or legislative changes which affect business operations providing clear and timely guidance. 6. Regulatory Knowledge Ø Keep up to date with changes in regulation which are relevant to the role. 7. FSA Contact Draft communications to FSA for approval by more senior colleagues
Skills, knowledge and behaviour
Knowledge Broad knowledge of legislative and regulatory frameworks, FSA regulations including COLL , CASS , COBS and SYSC and regulation in the pipeline which affect AXA 's current/ planned activities. Broad knowledge of investment products and distribution methods. Asset management experience to include fund accounting valuation and pricing and investment management processes and controls. Qualifications Investment Management Certificate or an equivalent qualification is advantageous Skills Good communication and influencing skills (oral and written). Good analytical, interpretation and problem solving skills. Capable of working with limited supervision, understanding when referral to a manager is appropriate and necessary. Capable of quickly acquiring new knowledge and applying agreed policy. Experienced in Compliance Advice with the ability to demonstrate outputs are relevant and meaningful to the business.
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