Lead the UK Investment Guidelines team: establish a clear vision (goals, objectives)
Manage the team: organise the split of individual responsibilities with the appropriate level of delegation, provide the means (technical and non-technical, information, knowledge and methods) to allow deliveries. Ensure business continuity and knowledge maintenance.
Manage people: organise regular 1-2-1, contribute to their development, give regular and constructive feedback on performance, provide an active support, contribute to their recruitment.
Oversight and control of the activities of investment guidelines officers. Ensure adherence to the Investment Guidelines Operating Memorandum, to the AXA IM standards and policies and to AXA values. Ensure delivery of the services, on quality, on time and on scope. Measure KPIs.
Communicate on team’s activities. Provide answer to requests on activities.
Ensure a win/win relationship with all teams involved in AXA IM Investment Guidelines process, the IG teams in other countries, the offshoring of activities to AXA BS in India, the delegations to Operations or to GRM.
Propose and lead initiatives to adapt to environment evolution (eg regulatory, organisational, technical), to reduce operational risks, to improve operational efficiencies or to improve quality of services. Promote required change management. Comply with audit recommendations.
Perform accountabilities of an IG Officer :
Identify and interpret all investment guidelines in regulations, prospectus, contracts and internal risk policies. Assess suitability and feasibility of investment guidelines monitoring. Escalate the risk of non monitorable guidelines. Create or update control card summarizing all the investment guidelines. Obtain validation of the control cards. Maintain completeness and reliability of the central guidelines repository.
Ensure the implementation in the different automated monitoring systems. Request for development of new solutions to monitor new investment guidelines or to adapt to new instrument types.
Contribute to the pre-trade controls, the prevention of breaches being under the responsibility of the front office. Keep evidence of the authorization provided to the front office.
Conduct permanent (daily) and independent controls of investment guidelines. Ensure full coverage and reliability of this monitoring. Keep evidences of the controls and the analysis. Analyse alerts raised in post-trade by the different systems and/or by third parties.
Issue a breach notification to the fund manager for remediation in the best interests of the client and escalate the breach if not remediated in time. Track to resolution and potentially request for tolerance. Log the breach in a central database, qualified as active or passive, with the analysis and the all evidences. Maintain the repository completeness and quality for global transparency and communication..
Produce breach / KPI reports to some clients, some auditors and local or global governance bodies.
Ensure collaboration with all teams involved in AXA IM Investment Guidelines process, like the offshoring of activities to AXA BS in India, to Operations or to GRM.
Experience in an asset manager
Experience as a manager is a plus
Knowledge and Skills
Financial instruments, management strategy and portfolio valuation
Awareness of related information systems and agility in using multiple Tools.
Analytical. Rigorous. Synthetical.
Autonomous and collaborative. Flexible.
Able to work with time constraints. Organised and Efficient.
Excellent written and oral communication, ability to interact with people from different levels within the organisation.
Challenging and ability to be firm.