Saioa Ranero

• Carry out oversight activities on delegated Investment Mangers with respect to ESG and sustainability risk monitoring framework.
• Measure and track dedicated ESG risk indicators within the risk profile of funds under monitoring.
• Perform qualitative checks on ESG aspects with concerned investment managers to verify that ESG criteria described in the prospectus are respected..
• Provide feedback on the investment limits and constraints defined by the regulation and investment policies in the scope of new or amended prospectuses including matters concerning investment restrictions , investment style and ESG profiles of the fund under our management.
• Perform daily compliance monitoring reviews in the scope of delegated services to Service Providers (Fund Admins)
• Ensure timely treatment of breaches and/or potential concerns pursuant to internal procedures and policies, and report on the status of breaches within the scope of the daily report to the Chief Risk Officer.
• Act as a liaison and support other teams of the risk department, for liquid and illiquid assets, in relation to investment compliance and operational risk matters.

Provide timely feedback and support to colleagues, management, and auditors (internal and external).

Assist in the preparation of monthly, quarterly, semi-annual reports for Risk and Compliance in collaboration with the other teams in the risk management business unit.

Collaborate to perform the Operational Risk Assessment (ORA), and follow up on operational risk points/events under the leadership of the team's head.

Contributes to the business unit's second line of defense goals by supporting Generali's operational risk activities.

Assist the business unit with yearly assessments of the effectiveness of the unit's procedures.

• Ensuring all clients investors are onboarding and approved in timely manner for AML/FATCA checks
• Management of AML/FATCA Mailbox Volumes, Queries, Issues and escalations
• AML/FATCA System maintenance and update of all online AML/FATCA e-checklists and controls
• Input into local Luxembourg AML Policy and Annual Refresh process
• Performance Review support for Associates and input into the development review process of A1's/A2's/SAs
• Responsibility for general location client oversight and management
• Change in regulatory environments - participation in project groups to understand industry regulatory impact & develop solutions/new products for our clients, work closely with local Compliance teams and IS teams
• Greater awareness of the risk environment and enforcement of key control and processes

• Fund set up outsourcing team in Poland, coordination of staff in Poland including the preparation of procedures, trainings, the follow-up and oversight of the tasks once outsourced and the evaluation of their work and KPIs fulfillment
• Responsible for coordination and training of other team members in Luxembourg/India/Poland
• Work planning and management in order to achieve goals and meet deadlines
• Review of prospectuses to identify changes in the investment policies, checking of the adequacy of the rules applied, define the specific restrictions that apply to each sub-fund and updating accordingly in the system and other client documents
• Manager of preparation of the compliance matrices to be shared with the client and for internal use of monitoring team of analysts
• Preparation of reports for the clients with the compliance status of their fund, according to the correspondent regulation and specific guidelines based on the prospectus
• Compliance monitoring for the fund´s policies under Luxembourg and UK laws (UCITs, NURS, RAIF,SIF..)
• MIG21 Software:Analyzing the potential active, passive or non-breach nature of exceptions identified by the system MIG21
• Client relationship and agreement for application of the monitoring approach to be followed for their funds
• Supporting and acting as a contact person between internal (i.e., other depts.) and external stakeholders (i.e., clients, regulators, auditors)
• Analyzing complex issues
• Responsible of the completion and execution quality of new projects or deliveries to the client
• Completed all assignments on time and with no infractions during examinations
• Collaborated with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines
• Compiled and analyzed detailed feedback reports to improve solicitation and collection process
• Demonstrated leadership by making improvements to work processes and helping to train others

• Responsible for the daily support of portfolio managers regarding the management of derivative products in which they invest
• Execution and liquidation of the orders received from the clients
• Reconcile positions with managers / Prime Broker /Clearing Broker
• Take control of the regulation of the cash
• Handle differences reconciliation within the defined cut-off times with clients and Fund Administration
• Meet the demands of providing Fund Accountants with necessary information and making the corrections required
• Monitor the cash flow (margin calls, reset ...) and to provide correctly and quality information to customers
• It must ensure daily contact with managers, middle office management companies and counterparties

• Data Base Maintenance for several market counterparties
• Execution and Maintenance for a compliance project regarding Dodd Franck's documentation requirements
• Maintenance, execution and report management for regulatory reporting (CIRBE - Bank of Spain) Set up and maintenance of data bases for: fixed and variable income, OTC, credit issuer
• Recommended maintenance enhancements to data acquisition processes to improve accuracy of data
• Worked with programmers to correct data quality errors
• Analyzed, queried and manipulated data to defined business procedures

• Risk analysis operations for credit consumer and mortgages
• Policy revision in order to satisfy risk compliance: institutions and branches
• Completed comprehensive audits of financial and business control systems and operational frameworks
• Collaborated with management to address all major risks

• Support to balance sheet closure
• Billings monitoring
• Checked figures, postings and documents for correct entry, mathematical accuracy and proper codes
• Coded invoices and other records to maintain organized and accurate records

• Register and payment to suppliers and follow-up to bills
• Control to administrative personnel documentation
• Daily closing cash management
• Customer assistance: personal and by phone calls