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Investment Guidelines Officer

Location: London
Company: AXA
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Location GREATER LONDON, UNITED KINGDOM Experience level Expérimentés Job details sector Gestion du risque Apply Share offer Facebook Twitter Linkedin

Job Purpose

In an international context, the IG officer acts as a key contributor in the adherence of AXA IM to all its regulatory, client or internal investment guidelines with identification of guidelines, implementation of controls in automated solutions, permanent and independent controls, logging and escalation of breaches for remediation, support of the front office in the prevention of breaches and reports on these activities.

Purpose is to contribute to the protection of the interests of our clients and the reputation of AXA IM.

Key Accountabilities

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

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 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 evidences 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 the all evidences. 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 or to GRM.

Contribute to initiatives to adapt to environment evolution (eg regulatory, organisational, technical) or that reduce operational risks or improve operational efficiencies.

Ensure knowledge maintenance and business continuity.

Role Requirements


Graduate degree


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

Knowledge and Skills

Financial instruments, management strategy and portfolio valuation.

Awareness of related information systems and agility in using multiple tools.

Excellent written and verbal communication skills, with the ability to interact with people from different levels within the organisation.

Analytical skills


A team play and the ability to work autonomously

Collaborative approach

The ability to challenge

Good organisational skills with the ability to set priorities and manage deadlines

Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.

In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.

We are an active, long-term, global, multi-asset investor focused on enabling more people to harness the power of investing to meet their financial goals. By combining investment insight and innovation with robust risk management we have become one of the largest asset managers in Europe, managing €746bn in assets as of the end of 2017. We employ about 2,400 people around the world and operate out of 21 countries.

We are proud to foster a high-performance culture, which means that we seek to recruit and retain people who are not only technically-skilled but also globally-minded, innovative and able to leverage their unique perspectives and life experiences to support our success as a company.

AXA IM is committed to building an inclusive culture, valuing diversity and supporting the career progression of all employees.

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