Head of Compliance, Australia

3 weeks ago

Sydney, New South Wales, Australia eFinancialCareers Ltd. Full time

Head of Compliance, Australia
Sydney, Australia - Hybrid
Permanent
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 Head of Compliance, you will report to our Regional Head of Compliance APAC and our Chief Executive Officer - AXA Real Assets, and you will be part of AXA IM Australia.
DISCOVER your opportunity
You will 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 organization. Additionally, you will ensure that all staff understand and are able to easily prove, utilising automated systems wherever possible, their compliance obligations. Ensuring 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.
Your role and responsibilities will include:

  • 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.
  • Designation
    • Is appointed as Anti Money Laundering Officer (AMLO) for Australia entities: responsible for the direction and oversight of the AML / CTF activities, with day-to-day responsibility for ensuring that an effective AML compliance program is in place that meets the requirements of AXA and AXA IM policies and local requirements.
    • Is appointed as Sanction Officer, Data Privacy and Fraud Officer for AXA IM Australia entities: has day-to-day responsibility for ensuring that an effective compliance program is in place that meets AXA Group and AXA IM policies as well as local requirements.
  • 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.
Your Profile
SHARE your unique expertise
We welcome different combinations of skills & experiences.
Your qualifications and experience:
  • 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 Estate is preferred.

We would love to know more about you. Let's connect Send us your resume.

About AXA
The AXA Group is a global leader in insurance and asset management, with 160,000 employees serving 105 million customers in 62 countries.
We protect and advise our clients at every stage of their lives, offering products and services that meet their needs in the areas of insurance, personal protection, savings and asset management.
Our mission: To act for human progress by protecting what matters.
Our values: Customer first, Integrity, Courage and One AXA.
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
We are committed to offer you an environment where you can:
  • 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 diverse community: Play a role within a responsible company that actively recognizes and values individual differences in a diverse and inclusive workforce.
  • Move the world forward: Join a responsible employer that acts in favor of societal and environmental causes as an investor, insurer and company, notably through the AXA Heart in Action association. As part of our commitment to sustainability and environmental responsibility, we will celebrate your arrival by planting a tree.
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