Role : Compliance Officer
Business area : Operations
Nationality : French
Location : Paris
I studied Law for 5 years including one overseas in Melbourne, Australia. When I came back, I started an apprenticeship within the AXA IM Compliance Department in order to acquire professional experience and technical knowledge. I graduated last year with a master's degree in criminal financial law and was hired straight out of university by AXA IM.
Why AXA IM?
AXA IM is a renowned asset manager located in several countries. The international exposure is a real asset in terms of work development and learning opportunities. Even as ‘local experts', the international coordination is enriching and stimulating. I'm not disappointed, I have regular contacts with the UK, the US, Spain, Germany…
I'm a Compliance Officer within the Risks and Controls Department. My role is to help business development in a way that meets regulatory requirements. The regulations constantly evolve so we need to stay up-to-date, interpret the rules, communicate the impacts on the business teams ‘activities. We guide them the best we can by advising them and putting in place procedures. We also have a controlling function which consists of monitoring the implementation of procedures and ensuring their effectiveness to cover material regulatory risks. When an assessment shows that a situation can be enhanced, we work on a solution to fill the gaps as best as we can.
Teamwork and support at AXA IM?
From day one, I felt fully supported, if I have any question I can ask anyone of them. They are very qualified professionals and also great persons. I'm glad to be a member of this team.
Remain flexible and constantly adapt myself to the situation. As Compliance officers, we need to be diplomatic enough to convey regulatory constraints that are not always well-received by the business teams and always act in a way to ensure AXA IM Paris' protection against regulatory risk.
Any key learnings?
Some days, it can be quite challenging ! However, I also learn that communication is the key. When you explain the rationale behind the rule, people are more understanding and inclined to work together to find a common solution.
I'm still learning and developing my skills at this stage. I intend to acquire more expertise in my field but I remain open-minded to opportunities. Maybe moving to one AXA IM entities overseas in a few years ?
Interview led in 2014.