Alexandre N.

Experience

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  BNP Paribas Securities Services

  Jan 2016 - May 2017

  - Securities reconciliations: Clearstream - Euroclear - daily basis, breaks investigation, support other team, also reconciliation of local markets (Netherland and German markets);- Cash reconciliations: P&L checking, Operation matching - Intellimatch, Nostro accounts;- Team support: trailers fees, participation to funds events (merge or split funds...);- Escalation to management; - Reporting: KPIs. - Registration: account openings requests, documentation filings, transfer agent query monitoring, KPIs;- Tax review: tax form filings on behalf of investors;- Training of new joiners;- Fund KIIDs review: eligibility of the investors, fund types reviews (new issues);- Other team support.

  • Reconciliation Agent

    Nov 2016 - May 2017

  • Network agent

    Jan 2016 - Nov 2016
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  HedgeServ

  May 2017 - Nov 2018

  Investors Relation Officer - Registration / AML

  - Registration - AML-KYC: Account opening requests monitoring, due diligence application on investors triggered by documents reviews (e.g. Corporations, Trusts, Foundations, Stichting, Individuals…), PEPs policy (screening with “Bridger”), Identification of Ultimate Beneficial Owners (25% rule), “US Persons” regulation, transaction monitoring activity Reporting, (all requirement in line with the 4th/5th AML directive);- Tax Documentation review: (FATCA) W8-Forms and W-9 forms applicable by the relevant entities, analysis/reviews of Entity Self-Certification (CRS) and annual report to the CSSF of reportable accounts with E-File (Fundsquare);- Cash Daily Reconciliation: invoices payments, reconciliation IN/OUT of movements between the fund and investors, clients’ requests management, investigations on breaks, reporting to the Management Company and to the Fund;- Dealing assistance: trade booking, confirmations sending, monthly statement and contract note reviewer;- Funds Launches Events: Internal fund setup and market setup with the services providers (Bloomberg, LSE, MEXID, WKN…) against the fund prospectus and communication to the authorities (CSSF);- Corporate Actions: RCS Filings (via LuxTrust), Extra and Annual General Meetings support, dividends distributions;- External queries: Audit requests and meetings organisation;- Daily Business Activities: procedures and new process building;- Reporting: Key Performances Indicators updates, board meetings preparation.- Participation to issue solving and escalation to Senior Management/Board. Show less

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  Janus Henderson Investors, EMEA

  Nov 2018 - Apr 2021

  Global Operations Oversight Analyst

  Oversight TA function:- Operational service management: escalation point for “Business As Usual” queries including shareholders’ complaints addressed to the TAs/Group; periodic due diligence on providers (on-site or virtual) as part of the 18/698 CSSF circular and reporting of conclusions/findings with final rating of the outsourced activities quality to the management;- Implementation of a internal reporting to the Conducting Officers/ Management Company Board/ Fund boards (monthly and quarterly basis) – activity overview; risk events; breaches; complaints; KPIs review and monthly service feedbacks;- Accounts opening request oversight: meetings with TAs’ team manager and coordination with internal distribution teams and/or clients to assist them (e.g calls/meetings...), remediation plan, AML/KYC support and contribution to the investors’ data collection (meetings, calls);- Governance process implementation and review of the existing (Swing pricing policy, restricted investments, AUM monitoring, « gating », invoicing, creation of KPIs registration, “zero balance” and inactive accounts review, unclaimed dividends review, ...);- Cash Oversight: unsettled transactions review, breaks investigations, “Bank of America” regular meetings (uses of CashPro app for TA collection accounts monitoring), Invoices and charges reviews, validation for payments;- FATCA/CRS yearly reporting, review of the TAs annual reporting for reporting;- Audit queries support; Annual Complaints summary to prepare for the CSSF;Oversight FA function (backup):- Monitoring of the fund accounting deliverables including exceptions on NAVs + sign off (P-Control);- Review of the final financial statements and annual reports;- Oversight of NAV pricing errors and incidents (reporting in line with 02/77 circular);- Queries treatment from internal and external parties and with the TPAs upon request;- Review TPA SLAs and KPIs including Monthly Service Review meeting and due diligence assistance. Show less

• 

  Amundi

  Apr 2021 - Aug 2022

  Outsourcing Control Senior Officer

  Fund administration / IM oversight, KPIs review, C-suite regular reporting, project lead (EMIR-SFTR oversight), financial reporting oversight and audit support.

• 

  Carne Group

  Aug 2022 - now

  Team lead - people management,Delegates Oversight : Fund Administrators / Investment Managers / Distributors C-suite reporting,Client presentation and relationship support,Regulatory exchanges support or lead.

  • Associate Director Oversight

    Oct 2024 - now

  • Senior Manager Oversight

    May 2023 - Oct 2024

  • Manager Oversight

    Aug 2022 - May 2023