Senior Compliance Officer

    • Domaine : Société de gestion Classique / Gestion des placements
    • Durée de Travail : Temps Plein
    • Niveau de formation : Bac +5 / Master 2
    • Type de Contrat : CDI
    • Salaire : 60 € A 70 € Par an
    • Entrée en fonction : Immédiate

    Missions

    1. To operate as a member of the Architas France Compliance team and provide appropriate support and guidance regarding additional compliance and risk matters as determined by business requirements (including acting as the Compliance Lead on projects as requested by the RCCI and signing off marketing materials when required);
    2. Subject matter expert for Architas in respect to relevant French, EU and other jurisdictions’ legislation and regulations – e.g. UCITS, AIFMD, MiFID and Market Abuse Regulations;
    3. Interpret legislation and regulations as required – including upon request from Senior Management Team (SMT) members and RCCI – and ensure advice is clear, accurate and timely;
    4. Ensure relevant SMT members at all levels of the business are aware of regulatory or legislative changes affecting business operations; and provide clear, accurate and timely guidance.
    5. Identify, build and maintain effective relationships with Architas and appropriate third party key stakeholders to ensure relevant key compliance risks are understood, processes and controls designed to appropriately mitigate such risk and to provide early warning of potential regulatory risks or control failures and recommendations for mitigation;
    6. Provide expertise to Architas in the development of company / Compliance policies (and related procedures) in line with legal & regulatory requirements (and with AXA Group policies); and provide training to Architas staff on such policies (including via the Risk & Compliance induction training sessions)
    7. When required, deputise for the RCCI and represent Architas France Compliance at key business committees and write reports to the relevant Committees and Boards.
    8. Represent Architas France Compliance at external industry body groups as requested by the RCCI.
    9. Undertake core compliance activities (e.g. approval of Personal Account Dealing, Stop List requests, Disclosure Transparency reporting).

    1. Actively contribute to the delivery and execution of the Architas France Compliance strategy.
    2. Tangible evidence of value added contributions to Architas through the application of regulatory advice and support.
    3. Clear, accurate and timely advice is provided to Senior Management and key stakeholders.
    4. Good working relationships evidenced in positive feedback from appropriate parties.
    5. All relevant legal and regulatory obligations are met through the development of internal policies with no significant negative feedback received.
    6. Architas France Compliance is represented at key internal and external stakeholder forums to ensure relevant input is given and received.
    7. Accurate Regulatory Reporting is completed / delivered by the business and Architas France Compliance functions.
    8. Core Compliance activities are undertaken correctly and in a timely manner.

    Profil recherché

    1. Degree and / or relevant professional qualifications and / or significant compliance experience within a financial services environment.
    2. In-depth knowledge and understanding of AMF regulatory requirements and expectations.
    3. In-depth knowledge of the investment management business environment to include types of investments, operation of collective investment schemes, asset management activities and their risks to customers.
    4. Experience of overseeing and completing regulatory reporting in line with AMF requirements.
    5. Ability to form judgements on the quality of procedures, management information and the application of judgement in decisions by the business.
    6. Good knowledge of the financial services industry, regulation, operating practices and technology.
    7. Excellent oral / written communication skills including report writing skills.
    8. Excellent stakeholder management and relationship building skills.
    9. Strong analytical skills.
    10. Good understanding of project management principles and approaches.

    Environnement

    Architas operates in a highly regulated environment in which firms and Senior Management are sanctioned and fined for regulatory failings. This role therefore aims to ensure compliance and evidence of compliance with the relevant laws and regulations:
    • to protect Architas’ People and Brand from reputational damage; and
    • to prevent the impact of regulatory sanctions by implementing, managing and overseeing (where appropriate) Architas’ Compliance policies and standards