Nicolas Perret Email & Phone Number

Geneva Area, Switzerland

• Compliance contractor assigned to a large Swiss private bank in Geneva• Review of account openings for high risk clients (PEP, country & activity risks, sanctions) • Periodical reviews of high risk clients, including KYC remediation• Special compliance investigations on a specific clients portfolio• Review and improve AML policies and procedures.

Zürich Area, Switzerland

Confidential review project for a large multinational bank. Data and documents analysis relating to account opening files. Multilingual investigations of client files. Applying sophisticated review protocols and writing case reports to provide information in response to regulatory inquiries to meet AML/KYC, QI/FATCA/Withholding tax requirements, as well as Cross border obligations. Assess and correct first level results and provide feedback to reviewers.

Lausanne Area, Switzerland

Set up and managed of the General Secretariat at group level;Improvement of the Corporate Governance within the Group and ensuring adequate communication between the different companies and committees of the group; Liaising with external auditors and ARIF, as well as FINMA for license applications projects (fund distributor, asset manager, etc.); Set up and managed the Group Compliance department (team up to 8 people), coordination with the Compliance Correspondents within the group entities; Reviewed the AML plan, implemented improvements and updates; Implemented the cross-border plan, including FATCA, and handled and coordinated all compliance issues within the group; Coordination of legal departments within the group, in order to improve efficiency, and heading the corporate legal department.

Set-up and lead of the Legal and Compliance departments and of the General Secretariat, in order to obtain the banking license (received in December 2009). Successfully led the Banking and Securities Dealer licenses application processes (obtained in December 2009 and March 2011), which included liaising with external auditors and FINMA.General Secretary of the Board of Directors, the Audit Committee and the Executive Committee; Implement a sound Corporate Governance and consolidated supervision within the group and ensure adequate communication between the different Committees; Issuing the Compliance and Legal Risk Reports to the Audit Committee of the Board of Directors;Set up and management of a Coordination Cell for Branches and Subsidiaries in order to ensure transmission of information and reporting within MIG Group, which includes an leading participation in the licenses projects in the United Kingdom (FCA) and in Hong-Kong;Contacts and follow up of procedures with administrative (FINMA, MROS) and judiciary authorities (State Attorneys, Justice Courts, etc.); Issue policies and procedures; AML and account opening process; follow up of QI, EUSTIP, FATCA and Rubik; on-boarding and monitoring of High Risk Clients (PEP, HNW, etc.); monitoring of unusual transactions (incl. set up of the monitoring tool); on-boarding and monitoring of business partners (Business Finders, External Asset Managers, White Labels); issue trading policies for our dealing room, specialized in Forex (foreing exchange) and CFDs; Implement and improve MIG standard account opening documents (General Terms, etc.) and agreements with business partners; Issue tailor made agreements for strategic partners; Review of ISDA agreements and other agreements related to MIG core business in FX; Review of agreements with service providers, liquidity providers and custodian banks; Set up of a « Cross-border » program to mitigate risks related to MIG international activities.

Geneva Area, Switzerland

Compliance Officer dedicated to the External Asset Managers Department. Set-up and lead of a compliance cell dedicated to the EAM Desk. Control and counsel unit for this desk, as well as for the EAM directly. Approval and review of relations with EAMs’ clients, according to the OBA-CFB and internal policies; which included CDD (CDB 08) and KYC validations as well as enhanced due diligences for high risk clients (PEP, HNW, risk countries and activities) and high risk transactions.

Structuring & Trade department, as well as a few missions with the Finacial Services dept.

Master, Compliance Management

Master, Law

Education record