Alexandre Sandoz

Delivering consulting services to Business Lines and Group Functions in the framing and implementation of their major strategic initiatives and transformation programs.

Projects:

- Constitution of a new business unit dedicated to Private Assets (legal, tax, operational model, HR streams) gathering activities from 3 entities of the Group (+€30bn assets)

- Contribution to Group strategic plan ("GTS") and presentation to Group annual Board

- Transformation of 2 major control Functions of the Group (+4000 FTEs and +1200FTEs)

- Review of distribution model for insurance products in retail networks (operational model, business plan)

• Various assignments performed worldwide (Europe, Asia, Africa, Middle East) in the context of OFAC compliance program

• Performance of diagnosis and investigations leading to the issuance of findings and recommendations presented to general management and shared with French and US regulators.

• Topics covered: AML/CFT investigations, sanctions/embargoes, anti bribery and corruption (deployment of "Loi Sapin II"), KYC (US dollar clearing entities), risk cartography and outsourcing.

• Performance of "Special" assignment aiming at retracing sequence of events, analysing root cause of incident and determining the personal and collective responsabilities of employees involved.

• Main banking activities covered: Retail, Corporate, Wealth Management, Securities Services, Group Functions

• Management of multicultural teams from 3 to 10 inspectors (juniors/seniors)

• Coaching/training seminar for newcomers

• Issued Group Procedures, Instructions and Guidelines applicable across the Group.

• Managed Countries' risk assessment.

• Managed Sensitive sectors' appraisal.

• Performed advisory for Group's entities and audit.

• Delivered analysis for reporting to regulators.

• Ensured regulatory watch on AML/FT, Corruption and International Sanctions issues : FATF's Publications (FATF recommendations, Mutual evaluations, High-risk and non-cooperative jurisdictions) ; OFAC Recent Actions (OFAC's SDN List, General licenses, Issuance of a finding of violation) ; UN Press Releases (Sanctions Lists), Official journal of the European Union (Council Decision and Council Regulation concerning restrictive measures), OECD's documents (Country reports on the implementation of the OECD Anti-Bribery Convention, Exchange of information), Publications of TRACFIN/ ACPR guidelines.