Compliance Manager, Compliance Advisory

BNP Paribas Asset Management (BNPP AM) is the asset management division of BNP Paribas Group. As of July 1, 2025, AXA Investment Managers’ (AXA IM) activities have been fully integrated into BNPP AM, creating a unified and strengthened global platform. BNPP AM is a leading global asset manager, leveraging the Group’s scale, stability, and expertise. We serve a diverse client base, including institutional investors, corporations, distribution partners, and retail clients worldwide. Our investment capabilities cover a broad range of asset classes, from traditional strategies like equities, fixed income, and multi-assets to alternatives such as real estate, infrastructure, private debt, and private equity. This allows us to tailor solutions to meet client objectives. With AXA IM’s integration, BNPP AM now ranks among Europe’s top asset managers, managing approximately €1.6 trillion in assets, with a focus on long‑term savings and alternative strategies. Sustainability is central to our approach. We prioritize ESG and responsible investing to deliver sustainable, long‑term performance while supporting environmental, social, and economic transitions. Adopting a pragmatic, long‑term perspective, we aim to generate durable value for clients, employees, and the economy, backed by strong risk management and responsible finance principles.

Job Purpose: To act as the UK Compliance Advisory specialist within the firms regulated entities with a focus on our Alternatives and Prime platform.

Your daily responsibilities:

• Identify regulatory changes impacting each expertise, effectively communicate these to the business, work collaboratively with the business on impact assessments, gap analysis and implementation of the requirements.
• Provision of accurate and timely advice and training to the UK regulated entities to facilitate their adherence to UK Compliance policies and Global policies, focusing particularly on the front office investment management activities of each expertise.
• Ensure that the conflict of interest register is maintained for these expertise, potential and actual conflicts are discussed with the business prior to new activity commencing and conflicts are assessed on a continued basis.
• Represent compliance on projects, review of new business initiatives and organisational changes.
• Regularly attend and input into expertise 1st line control committees and investment committees.
• Preparation and completion of client reporting and regulatory reporting including filing a Form ADV with the SEC as AXA IM UK is registered with the SEC as an exempt reporting adviser.
• Assist the Senior Compliance Advisory Manager in leading the day‑to‑day activities of the Compliance Advisory Team including monitoring the advisory inbox, required sign‑offs and approvals and in the absence of the Senior Compliance Manager participate in relevant governance committee meetings.
• Assist and support the Senior Compliance Advisory manager in the maintenance, ongoing effectiveness and implementation of all compliance policies and procedures owned by the Compliance Advisory team.
• Assist the Senior Compliance Advisory Manager in providing updates, assessments and escalation of issues as required to the UK Head of Compliance.

We welcome different combinations of skills, qualifications & experience:

• Relevant professional qualification would be preferable but not essential.
• Previous Asset management experience largely gained in a Compliance function, in an investment management environment with exposure and familiarity in managing related retail and institutional compliance issues.
• Experience and knowledge of private markets business including Real estate, alternative credit, private equity/debt, infrastructure equity/debt and hedge funds.

Your knowledge and skills:

• Thorough understanding of the Investment Management business servicing both institutional and retail clients with a particular focus on alternative investments.
• Technical regulatory expert (with previous experience of private market regulation).
• The ability to build business relationships with senior stakeholders.
• Effectively work with and challenge the business where required.
• Excellent verbal and written communication skills with the ability to effectively communicate with all areas of the business.
• Excellent problem‑solving skills taking a collegial and collaborative approach.