Senior Compliance Officer (Financial Crimes / Sanctions)

Job description

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Job Purpose

To contribute to the definition, management, and maintenance of the Financial Crime Prevention function at AXA IM Global level. Answering directly through to the Chief Financial Crime Officer, the role remit will firstly be to support and protect the business against Financial Crime Risks and related regulatory and reputational risk and secondly to ensure a swift and effective detection of money laundering activity / sanctions breach and embed anti money laundering / sanctions legislation, rules and guidance throughout the business transversally.

Key Accountabilities

• The scope of this role is very broad and encompasses a wide variety of tasks and responsibilities. Duties will include the following:
• Contribute to the implementation and management of Financial Crime (KYC, AML, and Sanctions) program
• Develop and review AXA IM Financial Crime (FC) standards and policies to ensure that the organisation operates in accordance with regulation and industry best practices
• Gather, review, and coordinate local Financial Crime regulatory requirements to ensure that the Global FC program is consistent and aligned with them
• Remain up to date on the FC regulation requirements and update AXA IM standards and policies accordingly
• Establish and maintain liaison with local and international financial industry representatives to exchange on best practices with regards Financial Crime topics
• Monitor the implementation of AXA IM FC standards and policies by AXA IM entities
• Determine FC metrics (Key Risk Indicators) and put in place a process for tracking them
• Ensure all employees are educated on the latest FC regulations and process: provide global e-learning material; ensure exhaustiveness of training target population as well as training periodicity
• Contribute to the definition of AXA IM Generic Financial Crime Second Level of Defence Control Plan with fundamental monitoring points to be controlled by local Compliance teams
• Perform 2nd level controls over Global process and local Compliance tasks and controls
• Advise management on AXA IM compliance with FC regulation through detailed reports
• Contribute to FC Risk Assessment on transversal global topics as well as ensure a proper FC risk assessment by AXA IM entities
• Define and regulatory update the proposal on FC risk appetite and tolerance definition
• Ensure periodic and ad-hoc reporting to AXA Group Compliance
• Coordinate with Regional and Local Compliance teams to address issues raised in internal audit reports, self-assessments, compliance reviews or regulator’s examination on FC topics
• Animate FC community (Compliance and Business sides): provide advices and support on FC topics, share best practices, coordinate AXA IM responses towards AXA Group
• Together with Chief Financial Crime Officer, be the main contact point for AXA IM local Compliance teams, Business teams and AXA Group Compliance on all transversal FC topics
• Ensure that all activity and transactions that are identified as potentially suspicious are investigated, reviewed, and resolved in accordance with established procedures
• Support and development of the local Compliance Officers, and oversight of the AXA Business Services team in charge of delegated activities in relation to sanctions screening

Desired profile

Qualifications :

Role Requirements

Education/Qualifications

·  Relevant industry qualification or degree

Experience

·  Minimum 5 years’ experience in the Financial industry
·  Minimum 3 years’ experience in Financial Crime topics

Knowledge and Skills

·  Knowledge of Asset Management business
·  Good knowledge of Financial Crime regulation requirements
·  Project management skills
·  Excellent language skills in English and French
·  Excellent knowledge of Excel, Word, and PowerPoint
·  Knowledge of Netreveal and SalesForce is welcomed

Competencies

·  Brilliant oral and written communication skills
·  Strong negotiations skills
·  Highly analytical skills with strong attention to details
·  Possess a collaborative personality and be open to suggestions from team members
·  Problem-solving attitude
·  Strong time management and organisational skills and able to meet deadlines
·  Should have a strong moral code and sense of ethics
·  Ability to navigate complex / changing organisational and regulatory environment