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Head of Compliance Australia

AXA

Job Description - Head of Compliance Australia (210004ZJ) Job Description Head of Compliance Australia ( 210004ZJ ) Primary Location : AUSTRALIA-NEW SOUTH WALES-SYDNEY Organization : AXAIM Global COO Contract Type : Regular Shift : Day Job Schedule : Full-time Description To develop a genuine culture of compliance and corporate governance across the Australian business and funds being primarily composed of real asset business, where commitment to achieving risk management and compliance with regulatory & contractual obligations, policies and procedures, and all incidents are escalated is embedded at all levels of the organisation To ensure that all staff understand and are able to easily prove, utilising automated systems wherever possible, their compliance obligations To ensure AXA IM’s compliance framework has appropriate, well understood and functioning systems to assist the board to ensure that AXA IM meets its compliance obligations Compliance & Regulatory Ensure compliance framework is suitable for the environment in which the business (mainly composed of Real Assets) and Funds/Mandates operate. Ensure that compliance framework mitigates the risk of breaches of AFSL and other relevant regulations. Understand requirements of the Corporations Act, ASIC and ASFL requirements.

Monitor regulatory developments applicable to the business and, working with relevant senior management, ensure that appropriate impact assessment, gap analysis and implementation steps are carried out in a timely manner. Point of contact for local Australia laws and regulations. Ensure all forms are lodged with ASIC on time and that meetings are run in appropriate manner and subsequently documented appropriately.

Advising senior management, business lines and staff on all aspects of compliance relevant to Australia Real Assets and Funds business; Advise senior management to enable them to meet the compliance standards, requirements and expectations of AXA IM Group and AXA Group. Oversee and ensure the ongoing maintenance, enhancement, development and operation of compliance training programs and activities (mainly composed of Real Assets) so that they remain current and that employees have appropriate compliance knowledge and awareness To be the primary contact for real asset compliance topics in Asia Relation with regulators : Manage and maintain long term relationship with relevant regulatory authorities to ensure completion of regulatory reports, submissions, filings etc. as required.

Governance : Participate, including presentation of reports as required, to the relevant governance committees as might be agreed. Ongoing Monitoring: Design and oversee a monitoring program mainly focused on Real Assets to assess whether AXA IM Australia entity continue to meet all applicable requirements of Australia rules and regulations and other applicable domestic or international financial laws and regulations. Ensure the ongoing conduct of appropriate monitoring, sample testing.

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Date23 July 2021

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