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May

Head Of Compliance Australia

AXA Funds Management - Sydney, NSW

Banking & Finance
Source: uWorkin

JOB DESCRIPTION

  • To develop a genuine culture of compliance and corporate governance across the Australian business and funds being primarily composed of real asset business, where commitment to achieving risk management and compliance with regulatory & contractual obligations, policies and procedures, and all incidents are escalated is embedded at all levels of the organisation

  • To ensure that all staff understand and are able to easily prove, utilising automated systems wherever possible, their compliance obligations

  • To ensure AXA IM’s compliance framework has appropriate, well understood and functioning systems to assist the board to ensure that AXA IM meets its compliance obligations


Compliance & Regulatory

  • Ensure compliance framework is suitable for the environment in which the business (mainly composed of Real Assets) and Funds/Mandates operate.

  • Ensure that compliance framework mitigates the risk of breaches of AFSL and other relevant regulations.

  • Understand requirements of the Corporations Act, ASIC and ASFL requirements.Monitor regulatory developments applicable to the business and, working with relevant senior management, ensure that appropriate impact assessment, gap analysis and implementation steps are carried out in a timely manner.

  • Point of contact for local Australia laws and regulations.

  • Ensure all forms are lodged with ASIC on time and that meetings are run in appropriate manner and subsequently documented appropriately.

  • Advising senior management, business lines and staff on all aspects of compliance relevant to Australia Real Assets and Funds business;

  • Advise senior management to enable them to meet the compliance standards, requirements and expectations of AXA IM Group and AXA Group.

  • Oversee and ensure the ongoing maintenance, enhancement, development and operation of compliance training programs and activities (mainly composed of Real Assets) so that they remain current and that employees have appropriate compliance knowledge and awareness

  • To be the primary contact for real asset compliance topics in Asia


Relation with regulators :

  • Manage and maintain long term relationship with relevant regulatory authorities to ensure completion of regulatory reports, submissions, filings etc. as required.


Governance :

  • Participate, including presentation of reports as required, to the relevant governance committees as might be agreed.


Ongoing Monitoring:

  • Design and oversee a monitoring program mainly focused on Real Assets to assess whether AXA IM Australia entity continue to meet all applicable requirements of Australia rules and regulations and other applicable domestic or international financial laws and regulations.

  • Ensure the ongoing conduct of appropriate monitoring, sample testing and reviews across the Australia entity in line with the annual agreed risk-based monitoring plan.

  • Oversee the maintenance and ensure the ongoing effectiveness and implementation of all compliance policies and procedures across the Australia business.

  • Second level oversight of KYC/AML/CFT checks on new / existing clients and counterparties

  • Participate in projects to provide compliance analysis and review of new business initiatives and developments.

  • Oversee and ensure proper review and approval of marketing materials, personal securities transactions, Gifts and Entertainment and other ethic related matters.


QUALIFICATIONS

  • Degree holder with at least 5 years relevant post qualification experience working in a large organisation or multi national

  • Legal, corporate finance or trust administrator background with compliance or auditing experience a plus

  • Experience in Real Asset is preferred


ABOUT AXA

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.


WHAT WE OFFER

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.
AXA IM is committed to building an inclusive culture, valuing diversity and supporting the career progression of all employees.