AXA Investment Managers - Investment Guidelines Officer

AXA Investment Managers

At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper.

As a future Investment Guidelines Officer, you will report to our Investment Guidelines Manager, and you will be part of AXA IM General Secretary.

DISCOVER your opportunity

In an international context, you will be involved in a very stimulating environment led by constant evolutions (Sustainable Investments, regulatory evolutions, financial and technological changes and innovations). The IG officer is a part of the investment process, and acts as a key contributor in the adherence to AXA IM’s regulatory, client or internal investment guidelines. The IG officer is involved in the identification of guidelines and in an implementation of permanent and independent controls using automated solutions. The IG officer is also involved in logging and escalating of breaches for remediation, in supporting of the front office in prevention of breaches and in reporting on these activities. It is an opportunity to join a dynamic team, which is central to protecting the clients’ interests, and in helping AXA IM to respect its commitments as a responsible asset manager.

The relative weights of each accountability may vary depending on the position held by each IG officer, the location and her/his seniority.

Your role and responsibilities will include:

• 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. Maintain completeness and reliability of the central guidelines repository.
• Ensure the coding in the different automated monitoring systems. Control the implementation. Specify for development in relationship with Referentials (DALI) and Technology teams or develop 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.
• Conduct permanent (daily) and independent controls of investment guidelines. Ensure full coverage and reliability of this monitoring. Keep evidence of the controls. 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 all evidence. Maintain the repository completeness and quality.
• 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; to Risk team or Portfolio managers teams.
• Contribute to initiatives to adapt to environment evolution (e.g., regulatory, organisational, technical) or that reduce operational risks or improve operational efficiencies.
• Ensure knowledge maintenance and business continuity.

SHARE your unique expertise

Your qualifications and experience:

• Graduate degree
• Experience in a similar function or within an asset manager would be a plus

Your 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.
• 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.