Chief Operating Officer

Key Responsibilities

• Managing the internal operations of the firm, with Middle Office and Settlement and IT (including cybersecurity).
• Responsibility for the business continuity planning, which includes operational continuity, resilience, and strategy.
• Responsibility for the firm’s outsourcing activities and the firm’s legal department.
• Responsibility for reporting to the firm’s Board on any operational topics and issues, including the oversight of FACTA/CRS matters (‘Responsible Officer’).
• Responsibility for the oversight, maintenance, management of the firm’s Operational Resilience Self‑Assessment.
• Responsibility for the coordination and oversight of Amundi (UK) Limited’s arrangements to support clients, in particular Client Service Function and Middle Office Function.
• Responsible for ensuring the firm has an appropriate reporting organisation which guarantees the regulator’s expectations are met regarding MiFID reporting (internal) and EMIR reporting (outsourced to CACEIS). This includes quality assessments.

Principle Accountabilities

• As a member of London Management, play a part in the overall running of the business development, including ensuring that effective governance structures, systems and controls are developed and operated.
• As a key member of the Management team, the incumbent will be responsible for deputising for the Chief Executive of Amundi (UK) Limited where required.
• Set and follow high standards of conduct. Follow, and keep up to date with, regulatory requirements and be proactive in obtaining legal /compliance advice. Delegate responsibilities, clearly specifying issues to be escalated.
• Encourage a culture that ensures the appropriate level of client support and drives appropriate behaviours from Amundi (UK) limited employees.
• Principally responsible for systems and controls of Amundi (UK) Ltd, including financial affairs, information security, setting and controlling risk exposure, adherence to internal systems and controls, procedures and policies, and reporting to Amundi (UK) Ltd Board thereon.
  • Put in place effective systems and controls, including guidance as to types of issues to be escalated.
  • Promptly resolve any compliance/control issues identified and enhance related policies, systems and controls as appropriate.
  • Effectively supervise the competence and conduct of employees.
  • Apply supervisory techniques, including monitoring, which would reasonably be expected to identify and deter potential incidents of non‑compliant behaviour.
  • Monitor the discharge of the functions by employees to whom responsibilities have been delegated to assess their continued suitability and competence for that role.
  • Seek to continually enhance competence by providing and/or supporting internal and external training and supervision and/or mentoring as appropriate.

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