Benjamin Baccot Email & Phone Number

Geneva, Switzerland

Geneva, Switzerland

Part of the First Line of Defense within the Private Bank in Geneva. My primary objective is to support the Private Banking supervision framework. -Designing, maintaining and enhancing the Front Office management framework (policies, controls, guidelines) across all risk types in coordination with the Second Line of Defense (Risk, Compliance, etc.).-Acting as the go-to person for risks and controls related issues. Providing guidance on, as well as enforcement of, the risk management focus to ensure that the Front Office can effectively manage and monitor its own risks and performance.-Acting as the interface for all risk related topics between the First, the Second and the Third Line of Defense.-Ensuring timely and sustainable resolution of Front Office related audit issues.-Taking an active role in several projects: Strategic partnership with Gonnet, proposing ESG solution to clients, improving control environment, FidLeg implementation (Swiss counterpart of the European MiFID II).-Providing comprehensive reporting on activities to Head Wealth Management and the Chief Risk Officer.

Geneva, Switzerland

Part of the First Line of Defense within the Private Bank, Risk Oversight and Control team based in Geneva. My primary objective was to support the Investment Services supervision framework.-Designing, delivering and reporting controls that provide a clear visibility of risks and behaviors within the Investment Services (Discretionary services, Advisory services, Direct access to Capital Market and FX traders). Ensuring that issues are identified, remediated and escalated to the Senior Management and governance forums.-Acting as the go-to person for risks and controls related issues. Providing guidance on, as well as enforcement of, the risk management focus to ensure that the Business can effectively manage and monitor its own risks and performance.-Contributing to the coordination of risk management across EMEA, providing subject matter expertise and management of initiatives beyond those encountered by client-facing teams.-Acting as the interface for all risk related topics between the First, the Second and the Third Line of Defense. -Reviewing of existing processes (update of internal processes and creation of procedures when necessary).-Monitoring and closing of any issues raised by Audit.-Taking an active role in several projects: Private Bank control automation based on RCSA results and audit issues, process optimization, new cross border framework, FidLeg implementation (Swiss counterpart of the European MiFID II), implementation of a new Market Surveillance tool.

Geneva Area, Switzerland

Part of the Third Line of Defense within the Private Bank Audit team based in Geneva. Leaded complex audit engagements in various locations such as Switzerland, United Kingdom, Monaco and Dubai.-Assist the Head of Internal Audit Switzerland in developing and executing the internal audit plan.-Conduct global internal audits applying state of the art audit methodologies within different business areas in Private Banking.-Participation to audit such as: Credit Review, KYC Review, Anti-Money Laundering Review, Tax Review, Payment Review. -Deliver crucial contribution during planning, field work and presentation of findings in close collaboration with the Head of internal Audit and assess key issues impacting Business.-Document and communicate audit issues, root causes and risks, and prepare reports of audit findings for Barclays’ senior management at local, global, divisional and functional levels.-Conduct regular business partnership meetings with various stakeholders (Compliance, Legal, Human Resources, Risk Officer)

Greater New York City Area

Financial Services Auditor at KPMG LLP’s Manhattan Office. Audits carried for various reputable Investment Banks in accordance with US GAAP. Major clients: Crédit Suisse, Barclays.-Identify and communicate accounting and auditing matters to relevant stakeholders. Interact with clients to help ensure the information flow from the client to the audit team is efficient.-Design and implement audit procedures in accordance with US GAAP and PCAOB.-Assess the compliance of managements SOX function with US Auditing Standards.-Day to day duties include the supervision and training of audit members in conducting audit procedures.

Luxembourg

Financial Services Auditor at KPMG’s Luxembourg Office. Audits carried for various reputable Banks (Private Banks, Retail Banks, Development Banks), in accordance with LUX GAAP and IFRS. Major clients: Banque Degroof Petercam, Crédit Suisse, Banque BCP.-Understanding of the business of the company and identification of the risks and potential issues from the analysis of the Financial Statements.-Review of processes with interviews with c-level executives.-Legal reviews and checking of financial and accounting data (Under IFRS and Lux Gaap).-Supervising and training junior staff members in conducting audit procedures and review of their work.

Paris, 8 Ième.

Part of the Internal Audit team dedicated to Edmond de Rothschild Investment Partners.-Contribution to the settlement of internal audit program of the bank. -Performance of financial, operational, and compliance controls in accordance with established internal policies and procedures.-Attendance of meetings with operational teams to develop an understanding of business processes.-Development of a detailed knowledge of Private Equity environment and internal controls procedures.

Paris , France

Part of the On-Boarding team dedicated to all SF financing departments (Paris desk).-Day-to-day assistance to Relationship Managers with the On-Boarding process from the beginning.-Realization of detailed research on clients' shareholding structure and operations to determine Beneficial Owners, Managing Members, Majority Shareholders and identify any potential compliance risk.-Performance of a Risk Analysis relating to Anti-Money Laundering and Regulation.-Coordination of the KYC/On-Boarding process between the front, middle and back office and Compliance.-Development of a detailed knowledge of banking regulatory environment and banking systems.

Paris, 8Ième.

Part of the Broker team and in charge of building up my own client portfolio.-Structured products sales (Equity, Indexes, Fixed Income, and Funds) to Wealth Managers, Family Offices and Private Bankers.-Price negotiation with different issuers of dedicated products. -Daily follow up of client’s portfolios and update of the Net Asset Value of the different dedicated products.

Orlando, Floride, États-Unis

Disney College Program at Animal Kingdom based in Florida.-Met incoming customers and provided immediate assistance.-Stock management, selling Disney items, daily cash flow management.