Guy Dauger De Caulaincourt

Manager Operation, Risk, Compliance, Regulatory and Reporting

Versailles, Île-de-France, France

About

Experience

  • Associé at Mamita&Bonpapa
    Sep 2024 - Present · 1 yr 10 mos

  • AXA Investment Managers (13 yrs 10 mos)
    • Global Head of Regulatory Reporting - Operations
      Jan 2022 - Jun 2024 · 2 yrs 6 mos

    • Head of Performance analysis - Commercial and Regulatory Reporting France - Operations
      Jan 2013 - Jan 2022 · 9 yrs 1 mo

      Within AXA IM Operation organisation, head of a team of 17 people, responsible for performance calculation and attribution, as well as Client and Regulatory Reporting. Coordination of the production of 7000 commercial reporting per month (Standard and Customs) and of 8000 KIID per year. Production of Annual Reports, Solvency II reporting (SCR), AIFMD Reporting. Project management in order to manage new regulation and client onboarding and changes management.

    • Head of UCITS IV Project
      Sep 2010 - Dec 2012 · 2 yrs 4 mos

      Within the AXA IM Client Group team, program manager of the implementation of the UCITS IV Directive, which implies the production of 6500 Key Investor Document (solution design and implemenation) and the set up of Cross Border Master Feeder Structure, as well as cross border merger

  • Directeur at AXA Funds Management SA Luxembourg
    Oct 2005 - Sep 2010 · 5 yrs

    General Manager AXA Funds Management, Responsible for Risk, Legal and Compliance and operationnal oversight. - General administration of the Management Company - Oversight of the relationship with the service providers of the Funds (Custodians, Administrator and Transfer Agent) - Management, coordination and/or support all the new projects - Regular reporting to the Board of Directors and Regulators - Oversight of the investment compliance controls and coordinate the resolution of all compliance issues (client claims, NAV errors or valuation issues, TA errors), and ensure training of the delegates on Luxembourg operations and regulations - Follow up and analyse ongoing Luxembourg Regulatory Requirements and Conduct of Business Rules, analyse and assess implications of new regulatory development and advise/support the business - Define control plan of the Luxembourg Funds and risk mapping policy - Coordinate the yearly audit of the Management Company and of the Luxembourg Funds - Manage Crisis situation such as the Sub-Prime crisis and Lehman Brothers Bankruptcy - Central point of contact for the Luxembourg Regulator (CSSF), of the auditors and of the professional associations (ALCO, ALFI)

  • Juriste Conseil at AXA Investment Managers
    Feb 2001 - Oct 2005 · 4 yrs 9 mos

    General legal management of a range of FCP and SICAVs under French and Luxembourg law, draft contracts, prospectuses (all types of funds including structured funds), draft the AXA IM activity program for alternative investments and AXA IM Luxembourg UCITS III activity program

  • Coopérant - Attaché Juridique at Mission Economique et Financière
    Oct 1998 - Sep 2000 · 2 yrs

    Legal and tax advises to French companies based in China and planning to invest in China, follow up and analysis of ongoing Chinese Regulatory Requirements, and prepare regular reporting to French Administration and COFACE on the Chinese regulatory environment.