Job title: Compliance Officer
Company: AXA
Job description: Job Purpose
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligation.Key Accountabilities
- Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.
- Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms. Includes, Conflicts of Interest management, gifts and entertainment reporting, outside business activities and political contribution activities
- 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 local 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 local 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 the Registered Representatives and Sales team with lobbying registration and requirements as well as Broker dealer related filing requirements
- 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
- Support the local 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
QualificationsExperience and Qualifications
- Bachelor’s degree
- 5+ years of working experience for a SEC Registered Investment Adviser
- Knowledge of the U.S. Investment Advisor Act 1940 as well as SEC and CFTC Regulations
- Experience with administering advisory compliance testing and reporting program
- Strong analytical and problem-solving skills to identify and mitigate problems
- Ability to research and implement procedures
- Ability to comprehend legal and policy and procedure guideline documents, as well as regulatory requirements in multiple jurisdictions
- Strong MS Word, MS Excel and MS PowerPoint skills
Expected salary:
Location: New York City, NY
Job date: Wed, 19 Jun 2024 22:11:17 GMT
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