Compliance Officer

Axa Investment Managers; Xico; Presencial; MXN 400,000 - 600,000; Jornada completa

Descripción de la vacante

A leading global investment firm in Veracruz is looking for a Compliance Officer to support regulatory obligations and compliance programs. The ideal candidate will have over 5 years of experience with SEC-registered investment advisers and a strong grasp of relevant regulations. The role involves assisting with compliance policies, monitoring testing programs, and maintaining effective regulatory filings. This position offers competitive health benefits and requires excellent analytical and communication skills.

Servicios

Flexible working

Competitive health benefits

Personalized learning paths

Formación

• 5+ years of working experience for a SEC Registered Investment Adviser.
• Knowledge of the U.S. Investment Advisor Act as well as SEC and CFTC Regulations.
• Ability to navigate complex and changing environment.

Responsabilidades

• Assist with compliance for SEC Registered U.S. Investment Advisor.
• Support compliance monitoring and testing program.
• Assist with AML, KYC, and financial crime monitoring processes.

Conocimientos

Analytical skills

Problem-solving skills

Communication skills

Detail-oriented

Educación

Bachelor's degree

Herramientas

MS Word

MS Excel

MS PowerPoint

Descripción del empleo

AXA Investment Managers Mexico City, MexicoPosted 1 hour ago Permanent Competitive

• At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business.

As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper.

As a future Compliance Officer, you will report to Regional Head of Compliance, Americas and you will be part of AXA IM Compliance DISCOVER your opportunity

Compliance officer that will be responsible for supporting the regional compliance program and related regulatory obligations

Responsibilities

• 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, as well as other relevant U.S. regulations including, but not limited to the FINRA, CFTC, ERISA
• Support the regional 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 regional 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 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
• Assist with the AML, KYC and financial crime monitoring processes
• Support the regional 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

Your Profile

SHARE your unique expertise

We welcome different combinations of skills & experiences.

Qualifications

• Bachelor's degree
• 5+ years of working experience for a SEC Registered Investment Adviser
• Knowledge of the U.S. Investment Advisor Act 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
• Ethical and strong sense of integrity
• Good judgment and ability to identify and elevate regulatory and compliance issues
• Organized and detail oriented; ability to multi-task
• Excellent communication and interpersonal skills
• Ability to navigate complex and changing environment

We would love to know more about you.

Let's connect!

Send us your resume.

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.

About the Entity

At AXA IM we are investing with a clear purpose - to make the world a better place.

We act for human progress by investing for what matters.

Our conviction-led approach enables us to uncover what we believe to be the best global investment opportunities across alternative and core asset classes.

We are already entrusted by our clients with more than €887 billion in assets.

What We Offer

• Grow your potential : be part of a forward-thinking business with internal opportunities and personalized learning paths available to help constantly develop your skills and abilities.
• Shape the way you work : work for a company which is highly committed to providing flexibility & balance to its employees, offering you a large range of benefits (hybrid working, competitive health benefits, among many others).
• Thrive within a dive