Compliance Technical Manager recruitment
Architas is a specialist investment company, dedicated to providing multi-manager solutions. We are a member of the global AXA Group, bringing multi-manager expertise to the whole company.
Our approach aims to combine the best market offerings with innovative thinking and investment design. As well as creating and managing a range of funds, Architas also acts as a centre of investment excellence for the AXA Group. Working behind the scenes, our team of experts is responsible for researching, recommending and monitoring funds on behalf of many parts of the business.
The Role
- Policy/Controls
- Provide advice on FSA Systems and Controls requirements and their practical application within Architas;
- Provide technical support to Architas in the development of company policies (and related procedures) in line with regulatory requirements and with AXA UK and Group policies;
- Compliance, Risk Governance
- Identify regulatory and legislative changes that impact the business. Use knowledge of background and context of rules to support the business in assessing the impact and identifying potential options that meet both our regulatory and commercial objectives
- Provide technical support, guidance and oversight of work of less experienced colleagues in Compliance Advice Team as required
- Assist in production of Key Management Information and reporting
- Represent Business Risk in Steering groups, Risk Committees and other governance forums. Represent AXA in external working groups. Authorised to contact FSA within the scope of delegated authority.
- Advice Project Work
- With limited oversight, ensure that compliance requirements are considered and are appropriately addressed for projects which typically involve a significant element of, complexity, new development, new policy/ practice, ensuring that senior management appetite for risk is understood and not exceeded.
- Provide interpretation, advice and guidance on application of more complex/new rules and principles and areas which are new to Architas
- Engage other areas of Business Risk in projects, as appropriate, ensuring they have the necessary information about the project to do their job.
- People Development
- Provide coaching / training / mentoring to less experienced colleagues in Compliance Advice teams, the wider Business Risk population and other areas of business, as required.
- Relationship Management
- Develop, maintain and enhance effective working relationships with all internal and external customers, including 3rd parties, other AXA businesses.
- Communicate with staff at all levels regarding regulatory or legislative changes which affect business operations providing clear and timely guidance.
- FSA Contact
- Draft communications to FSA on behalf of the Director, Business Risk. Authorised to contact FSA within the scope of delegated authority.
Skills Experience
- Detailed knowledge of legislative and regulatory framework, FSA rules, and regulation in pipeline which could affect Architas’ current/planned activities.
- Detailed asset management experience to include:
- NURS/UCiTS
- Fund accounting, valuation and pricing
- Investment management front office controls
- Retail and institutional investment management processes and control environments
- Complex investment products and instruments
- Excellent knowledge of investment products, including those marketed by Architas
- Detailed asset management experience including a good knowledge of Financial Services distribution methods, processes and practices
- Considerable experience in a compliance advice role with a successful track record of producing compliant but business focused solutions to complex issues
- Experience of dealing with Central Bank of Ireland /or AMF an advantage, as is knowledge of pre-trade compliance systems
Qualifications
- Degree or equivalent
- IMC or equivalent desirable
Skills
- Excellent oral and written communication skills.
- Sound influencing and negotiation skills with ability to quickly build confidence and credibility with Senior Management.
- Excellent analytical, interpretation and problem solving skills
- Presentation skills
- Consultancy skills
- Capable of working independently and leading on complex projects and initiatives.
For more information on Architas MM please see www.architas-mm.com
February 11, 2012
• Tags: Asset Management careers in the UK, Compliance Technical Manager recruitment • Posted in: Financial