Remediation plans
• Responses to issues raised by Internal Audit
• Operational incidents management
• Periodic Reporting
• Meeting Coordination with Group Risk, IT, Internal Audit and Operations
• Trade Finance transactions automation
• Compliance testing vs regulatory requirements OFAC, SEC, FED, ECB
• KYC
• Filtering rules and exceptions to improve the accuracy of permanent controls
• User guides and user training
• Performance assessment of AXA CS insurance products (Cargo, Air, Motors,
Marine)
• Reports on the impact of the merger of AXA CS with XL Catlin (US Insurance
Company)
• Methodology to derive post-merger business lines efficiencies
Business requirements
• Control plans
• Risk management
• Compliance
• Coordination of IT implementation and UAT
• User requirements and detailed functional specifications
• RACI
• Operating procedures,
• Scenarios and test cases
• User guides
• RSA Archer training
• MiFID II Project coordination
• Chapter 3, Microstructural Issues, RTS 6, Annex II: Content and format of order records
• Chapter 4, Data Publication & Access, RTS 13: Draft RTS on authorization, organizational requirements and the publication of
transactions for data reporting services providers
• Chapter 9, Best Execution, RTS 28: Classes of Financial Instruments, Top-5 Execution Venues
• Steering Committees for AXA IM Executive Management Board
• Best Execution Processes documentation
• Front Office Risks Level 1 & 2
• Merger of AXA Derivatives and Trading & Securities Financing coordination
• Solutions to the implementation of the Portfolio Reconciliation between SOPHIS and the Trading tools
• Workshops coordination for the merger of Global Markets and ALMT Operations
• Support to the Senior Management in identifying opportunities for centralization and regionalization across functions and products
• Lean methodology models (SWOT, Cross SWOT, Value Chain Analysis) to assist in the decision making process
User Requirements and Functional Specifications documentation vs August 2012 and March 2013 ISDA DFA and EMIR Rules
applicable to OTC Derivatives products
• DFA and EMIR implementation for CIB Legal (Europe and New York) and CIB Client Management IT (Mumbai)
• Governance meetings with DFA Sponsors (New York, Paris, London and Brussels)
• DFA Training plan implementation
• Client Questionnaire data for ISDA and non-ISDA Regimes (PCA Principal Type, Special Entity ERISA / non ERISA, Schedule
Election, End User Exception, Review or Exchange Portfolio Data, Opt-out of Annual Filling, SEC Issuer, CFTC Counterparty Status)
• Team Management 2 Staffs in Hong Kong, 12 Staffs in Shanghai, China
• Middle Office Operating procedures for Group Internal Audit
• Tactical solutions to mitigate the risks in the current infrastructure (Risk System: Geronimo, Trade Affirmation: OASYS, Trade
Confirmation: SwapWire)
• MIS reporting (Equity Derivatives, Fixed Income, Cash Equities, Swaps)
• Regional Training plan coordination
• MIS production for Equity Derivatives, Credit, Rates, Fixed Income products
• Decision making process based on MIS, KPI, KRI analysis