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Junior Compliance Surveillance Officer London 2023

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To assist the AXA IM Global Compliance Investment Transversal Business Process team with the design, implementation, execution and reporting of transacitonal surveillance activities. In addition, support the Global Compliance Officer in relation to investment transversal topics to ensure the compliance of AXA IM entities with regulation, best practices and internal standards and policies.

Key Accountabilities

  • Conduct market abuse surveillance for all portfolio management and trading activity in accordance with defined procedures.
  • Where required, assist in other transactional surveillance relating to the following topics International Sanctions, Beneficial Ownership Reporting and Counterparty Authroisation and Monitoring
  • Assist in the provision of information to governance committees and senior management to demonstrate compliance and/or to highlight issues or trends where appropriate.
  • Assist in the development , execution and maintenance of related processes and procedures to support investment transversal business processes
  • Assist with the provision of information to clients and / or regulators when required.


Technical skills:

  • Strong analytical and problem-solving skills
  • Fluent in English. French language a plus but not essential
  • Good working knowledge of Microsoft Excel, and PowerPoint a plus. Use of other systems commonly used by asset management firms a plus but not essential
  • Good understanding of regulatory requirements and their practical application

Personal skills:

  • Keen interest in a career in Compliance
  • Excellent timekeeping / organisational skills to meet deadlines
  • Good communication skills, both oral and in writing, with the ability to work across different jurisdictions and with stakeholders across different parts of the firm
  • Good judgment and ability to identify issues and escalate them as appropriate
  • Pragmatic and common-sense approach to solving business problems
  • Self-starter with ability to multi-task when in the office or when working remotely
  • Proactive – provides effective solutions
  • Strong ethical values

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.

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.

DEADLINE 30th November 2023