Philippe GEORGES

• Management of a Business Team of 5 persons in Global Portfolio Compliance Department..
• Client Relationship : main and escalation contact for the team dedicated clients, both internally and externally.
• Participation to regular clients BAU calls, monthly management or Due Dil meetings.
• Set performance expectations for the team, monitoring progress towards goals and providing constructive feedback as needed.

• Relationship Management of the Compliance Provider in India for Luxembourg
• Coordination of ISAE3402/SOC1 cycles for Investment Compliance Luxembourg
• Supervision of team members dedicated to the client Investment Restrictions Monitoring:
• Daily control of the Funds’ compliance with the applicable UCITS, UCI or SIF laws, the prospectus investment restrictions and policy;
• Daily communication with clients and Management Companies on the breaches detected and their root causes
• Reporting of active breaches to the CSSF and auditors in accordance with the CSSF circular 2002/77;
• Participation to regular clients MMR, KPIs and due dil meetings
• Set-up and review of fund launches
• Supervision, training and development of the team members;
• Procedure review and set-up, training and follow-up of externalized fund compliance duties

• Funds Compliance review and Investments analysis
• Daily pre- and post-trade analysis through Bloomberg- AIM Management system
• Share Class Hedging
• Prospectuses Investment policy review and limits set-up
• Funds Performance follow-up
• Funds fees redundancy control
• SRRI Indicator monitoring & review
• Trading & Middle Office Manager :
• Placement, execution and follow-up of orders on behalf of Ucits/Aif external clients
• Brokerage activity : due diligence of brokers, electronic set-up for routing and execution
• Trade testing
• Portfolio management
• Account Manager Private Banking :
• Follow-up of client accounts
• Portfolio management
• Trading and treasury

Client accounts Administration.

Treasury and Trading execution and follow-up

Portfolio Administration