Conducting Officer Compliance

• Sep 2021 - Present

Be part of the Senior Management team of the Management Company, reporting directly to the Board of Directors; • Manage review policies and procedures to ensure compliance with applicable laws & regulations, and control their effective implementation; • Perform control and maintenance of compliance related documents; • Coordinate collection of information and perform reviews on controls defined within the Compliance Monitoring Plan; • Oversee and ensure that the delegated functions (AML, FATCA, CRS, etc.) are in line with the internal policies and regulations; • Review and monitor the distribution framework and outsourced relationships in accordance with regulatory guidelines; • Perform due diligence controls and/or onsite visits on relevant delegates with the other Conducting Officers; • Provide support and advice to the business as regards regulatory changes, AML/CTF risk assessment prior to client on-boarding, collection of the KYC documents, name screening, etc.; • Maintain inventory and archive of legal agreements, corporate documents and correspondence; • Assist with compliance trainings and activities (AML, etc.) and/or deliver training to the team on various compliance related subjects; • Prepare regular reporting, compliance advices and recommendations (by implementing remediation plan / corrective measures) to the Senior Management and the Board as well as plan monitoring tasks regarding different projects; • Ensure all regulatory returns and submissions are filed in a timely manner; • Act as a main point of contact in respect of communications with the CSSF (and the Central Bank of Ireland); • Assist with answering compliance questions raised by employees or external parties, e.g. auditors; • Attend and provide formal reports to the Board of the ManCo and the Funds on a quarterly basis; Show less

Responsable du Controle (RC) on AML/FT

• Mar 2021 - Aug 2021

Responsable du contrôle du respect des obligations” (RC) as per the CSSF’s FAQ of 25 November 2019 to oversee compliance with Luxembourg’s Anti Money Laundering (AML) and Countering the Financing of Terrorism (CFT) requirements. Appointed by the Board, the RC has to: • Review compliance with the applicable AML/CTF regulations, including processes and policies • Perform an annual review of the entity’s AML policy, and if necessary, align with regulatory changes • Monitor the regulatory environment and update the Board accordingly • Review KPIs received from the Administrator and compile a report to be tabled and presented to the Board. • Undertake annual due diligence on the Administrator and compile a report detailing any observations and recommendations • Report suspicious transactions or activities to the RR, and if appropriate, file a report with the Financial Intelligence Unit • To be available at any time to meet with and relay information to Luxembourg’s AML/CTFT authoritie Show less

Conducting Officer / Head of Risk Management & Compliance ESO Management Luxembourg SA

• Nov 2018 - Mar 2021

Chief Compliance Officer

• May 2018 - Oct 2018

Country Business Risk and Control Manager

• Jul 2016 - Apr 2018

Conducting Officer - Risk Manager & Compliance - VP Risk, Finance and Operations

• Mar 2014 - Jul 2016

Eiffel Investment Group is an alternative asset manager and investor in European credit and equity. The firm manages over €300 million in a range of absolute return strategies including long-short credit , long-short sector-focused equity and bespoke credit. Eiffel Investment Group relies on a fundamental, research-intensive, investment approach to identify attractive alpha generating investment opportunities. Eiffel Investment Group is an independent firm, owned by the team alongside former Louis Dreyfus group Chairman & CEO Jacques Veyrat (the company started end 2008 as an asset management division of the Louis Dreyfus group and spun-off mid-2011). The firm and its principals have invested €100 million in the funds managed by Eiffel Investment Group, ensuring a very strong alignment of interests with investors and a constant focus on risk management. The Risk Management function cover: - Regulatory supervision and management of risk of in-house investment fund; - Report to the Group Head of Risk about all matters; - Implementation of Risk Management and Control procedures; - Control of adherence of AIF managed to applicable risk guidelines and limits; - Validation of Risk reporting to investors. - Empowered to implement corrective actions (sells or cut positions); - Managing Task of the overall activity of the group and mainly of the Risk, Finance and Operations services; - Be aware of Compliance and Managing Direction of the activity of the Group; - Be part of the Senior Management Committee; - Act as Conducting Person for Luxembourg entities; - Implementation of valuation policies and procedures and supervision of external valuers; - Supervision of unaffiliated service providers (AML/KYC, Due Diligence...); - Assistance to EIG Group Compliance Officer regarding regulatory compliance for Luxembourg Entities (regulatory watch, CSSF reporting, manual procedures...); Show less

Senior Compliance Consultant

• Oct 2013 - Dec 2013

The Compliance function in SEB is responsible for ensuring compliance quality and for driving and promoting compliance issues. The Compliance function shall inform, advise, control and follow-up on all compliance issues. It shall actively support the business and management, thereby securing that SEB’s business is carried out in compliance with regulatory requirements. The areas of responsibilities will cover: • Advising senior management of the Management Companies on all relevant legal and regulatory developments; • Monitoring of all outsourced fund compliance controls from a UCITS and AIFMD perspective; • Monitor adherence to and drive development of internal policies and procedures; • Advising staff on compliance issues and driving continuous improvement. Show less

Risk and compliance fund officer

• Jun 2012 - Jul 2013

- Investment compliance reviews of funds and prepare monthly and quarterly Management and Fund Board Reporting; - Risk management review on counterparty, market and concentration risk & global exposure in line with CSSF 11/512 on Risk management, CSSF 12/552 on central administration, internal governance and risk management in banks and investment firms and ESMA guidelines as 10/788 on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS; - A sound knowledge of the Luxembourg, European and global investment fund’s environment from a compliance and legal perspective, especially in terms of investment techniques and instruments, anti-money laundering requirements and rules of conduct (e.g.: UCITS IV; SIF Law; ESMA Guidelines; Luxembourg, EU/EEA, Hong Kong and Singapore Collective Investment Scheme law; Directive 2005/60/CE; AML/FT/KYC; MiFID, AIFMD, EMIR, FATCA, SarBox, 1940 and Dodd Franck act…); - Set-up and monitoring investment and restrictions policies in compliance software; - Notification, action plan and follow up of CSSF 2002/77 breaches; - Liaising with clients, portfolio manager, lawyers and regulators on compliance and regulatory issues; - Development and improvement investment compliance policies and procedures; - Participation in the analyze and implementation of new investment funds; - Ensuring that all fund activities and policies are all times compliant with CSSF regulations; - Assuming the eligibility of assets invested relating to UCITS directive and ESMA Guidelines; - Ensuring NAV plausibility control and performance analysis via automated and scientific benchmark selection; - Completion of all necessary regulatory reporting associated with fund investment compliance; - Update of regulatory framework issues by Luxembourgish and European authorities ; - Development of Macro VBA to improve and simplify team daily work; - External representative person for the compliance service close to third parties. Show less

Assistant Manager Audit on Undertakings Collective Investment

• Sep 2011 - Jun 2012

Same as Deloitte, see below and: - Definition of audit risk approach; - Review of SAS70 and ISAE 3402/SSAE 16 report; - Analysis, conclusion and implementation of Risk Base Approch for Funds Audit industry. Same as Deloitte, see below and: - Definition of audit risk approach; - Review of SAS70 and ISAE 3402/SSAE 16 report; - Analysis, conclusion and implementation of Risk Base Approch for Funds Audit industry.

Audit Experienced Senior on Undertakings Collective Investment

• Jan 2008 - Aug 2011

Responsible of audit team composed of Junior and Trainee, I am the link between them, client and management. I distribute work to perform, review it and insure the follow up of outstanding points and management requests. I perform valuation of the portfolio and control of investment policy and restriction. I perform also reporting procedure as control of Financial Statement and Long Form Report (report on the firm activity, control in place and financial ratio…). Recurrent contact with CEO and board management, clearing of issues and follow up files up to audit opinion signature. Specialization in Fund of Funds, Funds of Hedge Funds, offshore funds…with futures contracts, forward exchanges transactions, swaps, options and index. Several audit of merger, liquidation, Contribution and Redemption in Kind. - Investment restriction on a wide scope of investments funds: 800 sub-funds, including UCITS (Part 1), UCI (Part 2) under Directive 2009/65/CE and law of December 17, 2010 and SIF under law of February 13, 2007 (CSSF 07/309 and 07/310); - Control of the leverage (CSSF 11/512), borrowings and securities lending (CSSF 08/356); - Set-up / Control / Monitoring of NAV plausibility (CSSF 02/77 relating to NAV error and CSSF 04/146 relating to Late Trading and Market Timing); - Set-up / Control / Monitoring of Performance fees (High Water Mark, Hurdle, Index…); - Portfolio valuation, independent valuation of OTC financial derivative instruments; - Draft of Long form report (CSSF 02/81); AML/KYC procedures (Directive 2055/60/CE and CSSF 10/476) linked to FATF/GAFI; - Audit of Risk Management: VaR, Commitment, Concentration and Counterparty risk related to FDI, Coverage rules, Liquidity risk (control of calculation essentially); - Analysis of Risk Management Procedures; - Analysis of prospectus in line with the applicable regulation; - Training to junior and senior staff about derivatives investment valuation, UCITS/UCI and funds accounting principles Show less

Credit Risk Analyst Assistant

• Aug 2005 - Sep 2005

Analyse du risque de crédit auprès d'investisseurs privés. Credit risk analyst - private investment Analyse du risque de crédit auprès d'investisseurs privés. Credit risk analyst - private investment