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Compliance Officer

Posted Jun 28
Full Time
Stamford, Connecticut

Job Purpose
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations

Key Accountabilities 

  • Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.
  • Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms. Includes, Conflicts of Interest management, gifts and entertainment reporting, outside business activities and political contribution activities
  • Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U.S. Investment Advisor, including integration work
  • Assist the department with ensuring the business meets all requirements of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including, but not limited to the FINRA, CFTC, ERISA
  • Support the local compliance monitoring and testing program and accompanying schedules, perform testing for select trade surveillance oversight (e.g., best execution and fair allocation), prepare summary and management findings for local oversight committees and contribute to annual assessment and other ongoing regulatory requirements
  • Assist with the maintenance of effective compliance policies, procedures and/or manuals across all business lines
  • Assist with internal and select client reporting and filing coordination within the organization and applicable corporate affiliates
  • Assist the Registered Representatives and Sales team with lobbying registration and requirements as well as Broker dealer related filing requirements
  • Assist with the completion and maintenance of SEC and other regulatory filings and disclosure materials
  • Assist with back up as needed for administration of effect Code of Ethics, social media and compliance training / continuing education programs across all business lines
  • Support the local oversight of associated 3rd party due diligence
  • Liaise with the Regional Head of Compliance and the expertise lead in a range of on-going business initiatives and assist as required


Your Profile

Experience and Qualifications 

  • Bachelor’s degree
  • 5+ years of working experience for a SEC Registered Investment Adviser  
  • Knowledge of the U.S. Investment Advisor Act 1940 as well as SEC and CFTC Regulations
  • Experience with administering advisory compliance testing and reporting program 
  • Strong analytical and problem-solving skills to identify and mitigate problems
  • Ability to research and implement procedures 
  • Ability to comprehend legal and policy and procedure guideline documents, as well as regulatory requirements in multiple jurisdictions
  • Strong MS Word, MS Excel and MS PowerPoint skills

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.

AXA Investment Managers | Home | AXA IM Corporate (

AXA IM is an Equal Opportunity Employer, and we encourage candidates with disabilities or any other protected characteristic to apply. We are committed to providing reasonable accommodation to qualified applicants and employees with disabilities, when needed, to apply for a position or to perform essential job functions.

Inclusion and Diversity | Careers | AXA IM Corporate (

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.