Compliance Officer

Location CONNECTICUT, United States
Experience level Executive Role
Job details sector Legal and Compliance
Apply before Date not available

Job Purpose:


Seeking a transversal compliance officer responsible for supporting the Americas Compliance Teams (Greenwich and Orinda Compliance teams) specifically Sales & Distribution support for AXA-IM.


Key Accountabilities:


• Administer and continue to develop an effective means to ensure specific sales, distribution and marketing materials, RFI / RFP submissions and related client DDQs are reviewed, amended and approved in accordance with applicable regulations and internal policies and procedures
• Assist with the development and completion of specific sales, distribution and marketing tasks and duties concerning the local and global compliance programs related to the operation of regulated investment advisors
• Assist with the maintenance of effective compliance policies, procedures and/or manuals concerning such sales, marketing and distribution activities, along with other business lines to address key accountabilities and responsibilities
• Assist with the internal reporting and filing coordination within the organization and applicable corporate affiliates for all documents, registrations (including filing for exemptive relief as applicable) materials and information in support of the sales and distribution teams, as well as web-based materials and disclosures
• Responsible for portions of the compliance program, including specific oversight, review and approval of marketing materials, offering materials, client disclosures, public disclosure / press releases and all related books and records requirements, as well as topical internal and external audits
• Assist with developing and maintaining an effective compliance program to ensure that such sales, marketing and distribution activities are in line with applicable regulations for the Americas region, including, but not limited to the US, Canada and select jurisdictions within Latin America
• Liaise with the various compliance teams COO and senior management in a wide range of on-going business initiatives and assist as required
• Assist with the completion and maintenance of SEC / Regulatory filings and disclosure documents

Role Requirements:



• Bachelor’s degree
• Advance law degree preferred, but required


• 3+ years of working experience for a SEC Registered Investment Adviser, preferably with some international experience or exposure to foreign regulators (e.g., AMF, FCA, CNBV)
• Relevant experience coordinating the review, amendment, approval and maintenance of all client related promotional and information marketing and advertising materials, as well as related public disclosures and website oversight
• Experience dealing with U.S. Securities regulators

Knowledge and Skills

• Knowledge of the U.S. Investment Advisor Act 1940 as well as SEC and CFTC Regulations
• Strong analytical and problem solving skills to identify and mitigate problems
• Ability to research and implement procedures
• Ability to comprehend legal and guideline documents as well as regulatory requirements in multiple jurisdictions


• Strong MS Word, MS Excel and MS PowerPoint skills

Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.

In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers

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 €746bn in assets as of the end of 2017. We employ about 2,400 people around the world and operate out of 21 countries.

We are proud to foster a high-performance culture, which means that we seek to recruit and retain people who are not only technically-skilled but also globally-minded, innovative and able to leverage their unique perspectives and life experiences to support our success as a company.