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Note Globale    

Jean-Luc

Paris

Jean-Luc

Expériences professionnelles

 

Schroders Capital Infrastructure (France)
Paris

Head of Compliance and Internal Control (RCCI)

Déc 2021 - Aujourd'hui

1. Secretary General

  • Coordinate a call for tenders for a mock regulatory inspection
  • Coordinate the preparation of supervisory boards and the management report from the president to the shareholder
  • Support the establishment of a Management Committee and the implementation of financial monitoring (management of accounts + monitoring of equity + evaluation with a view to a possible recapitalization)
  • Participate to the thinking on possible development options in the context of the democratization of private equity

2. Interim RCCI

  • Compliance advisory support to the team and to the senior management
  • Compliance Risk Mapping update and supervision of 2nd level control work delegated to an external service provider
  • Relations with the regulator and performance of recurring regulatory/mandatory reporting [ratios/indemnification, AIFM Annex IV, AMF FRA-RAC, AMF AML-CFT Reports, ESG report, etc.]
  • Coordination/interface with the consulting firm selected for the performance of the mock regulatory inspection
  • Review of the Compliance and Internal Control Framework & remediation, update/creation of various policies and procedures
  • Performance of the recurring group reporting [compliance MI report, Financial Crime MI report, Conduct risk report, etc.]
  • Relations with the group's control bodies and ad-hoc control engagements (on services delegated to the group)
  • Compliance training / ethical welcome of new employees

OTCex / HPC
Paris

Group Head of Compliance (RCSI) and Data Protection Officer

Juil 2017 - Juin 2021

Group Head of Compliance and Data Protection Officer – OTCex Group – Member of the Risk Committee – Paris, 2017 - 2021

1 - Create a Compliance Department as part of an overall project of creating and strengthening a Global Control Functions Division

  • Recruited, trained and directly manage a team of three compliance officers and one junior legal officer
  • Designed and implemented a Compliance risk mapping in order to formalize the perimeter of the Compliance function
  • Defined and deployed the overall Compliance verification procedures and the Group Compliance Permanent File
  • Produce the Regulatory reporting to the French Authorities since year 2017 (RACI, RACI LCBFT, QRCSI-AMF, ACPR BLANCHIMT) and implemented various regulatory reporting (MiFID, Dubai, Portugal, Bank of Greece, etc.)
  • Assist internal teams on Financial Markets legal and compliance issues
  • Implement the Global compliance framework to include overseas office (Hong-Kong, London and New-York)

2 - MiFID II Project Manager – Launch of an ‘Organized Trading Facility’

  • Overall coordination for the MiFID II Compliancy project including procedures and Technology development
  • Filed with ACPR & AMF for the successful registration of an Organized Trading Facility (OTF) and variations
  • Lead the business analysis endeavor for enhancing the Information System (Pre/post trade transparency, regulatory reporting, ESMA Register filing (FIRDS/FITRS), best execution reporting, etc.)

3 - Launch of new businesses

  • Managed projects for creating third countries and EU branches from the design up to obtaining both the regulatory and company house permission

SISCIA
Paris

Directeur Associé (Managing Partner – Registered Financial Advisor / CIF ORIAS N° 15001877)

Oct 2014 - Juil 2017

Managing Partner – SISCIA / KUSUNTU Partners – Registered Financial Advisor / CIF ORIAS N° 15001877 – Paris, 2014 – 2017
1. Investment Services Advisory / Transition Management

  • Transition manager – Compliance / Risk / Internal Control
  • Private Equity / Investment Fund Structuring
  • Resources Mobilization / Fund Raising
  • Advisory services for setting up an Investment Promotion Agency

2. Education and Training Services

  • Design and delivery of training in the field of Investment Services Compliance
  • Design and delivery of training in the field Private Public Partnership and Infrastructure project financing

ECOFI Investissements
Paris

Director – Compliance, Risks and Internal Control – RCCI – Member of the Management Committee

Mars 2009 - Oct 2014

Director – Compliance, Risks and Internal Control – ECOFI Investissements – Member of the Management Committee – Paris, 2009 - 2014

1. Overall risks mapping in the context of a strategy to open the distribution activities from a captive operation into the competitive market
2. Review of related procedures and modernization of the Internal Control System in compliance with regulations

  • Product development, governance and distribution framework, Product & Client Mandate review, Risk monitoring and review
  • Regulatory oversight for Investment Operations, Fund Administration and Products Distribution
  • Chair of the Risk and Compliance Committee

3. Perform Investment and financial control and produce risks reports as well as regulatory reports to the markets authorities


JPMorgan Asset Management Europe - Succursale de Paris
Paris

VP – Secretary General / Business Manager – JP MORGAN AM – Member of the Management Committe

Mars 2007 - Mars 2009

VP – Secretary General / Business Manager – JP MORGAN AM – Member of the Management Committee – Paris, 2007 - 2009

1. Define, organize and manage the ‘Administration, legal and finance’ functions in coordination with the Regional Headquarter

  • Budget and P&L Accounts validation
  • Edition / validation of distribution agreements

2. Manage the rationalization of the domestic funds range and preparation to cross-border merger of funds
3. Oversee under the delegation of the Group, a venture investment into a French unlisted company

  • Business plan review and delivery follow-up
  • Capital increase preparation

Invesco

Senior Executive Product Development & Operations

Déc 1999 - Mars 2007

Director – Global Products Line Management – INVESCO – Member of the Global Product Development Committee – Atlanta – 2003 – 2007

  1. Design and develop a central platform for gathering information and data on the Group Investment expertise’s and Products
  2. Recurring exploitation of the built product platform including Product range rationalization and New products development
  3. Contribute to the definition of Revenues sharing pattern between Investment, Distribution and Administration centers
  4. Design and roll out of a unified product development process across the group

Director – Operations & Technology – INVESCO CE – Member of the European Operations Executive Committee – Brussels, 1999 - 2003

1 - Managed the Operations Function for France

  • Transfer Agent and Clients Service
  • Investment Operations

2 - Coordinated the roll out of Retail and Institutional clients servicing processes and systems across the 8 regional offices

  • Oversight of domestic operation functions across Continental Europe

ERNST and YOUNG - DIAGRAM - CPR Bank
Paris

Project Manager

Oct 1991 - Nov 1999

  1. Managing Consultant – ERNST & YOUNG – Financial Services Advisory – Paris, 1998 – 1999
  2. Project Manager – DIAGRAM – Capital Markets Risk Software development – DIAGRAM – Paris, 1996 – 1998
  3. Project Manager – CPR Bank – Capital Market Risks – Paris, 1991 – 1996

Certification

 

2012 : AMF

Formation

 

2012     - Certification AMF

1991     Université Paris Dauphine - DEA Stratégie d'Entreprise

1990     Université Paris Dauphine - Maitrise Economie Appliquée

Langues

 

Anglais : Bilingue ou langue maternelle

Français : Bilingue ou langue maternelle

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