Sylvain Ni Email & Phone Number

Paris, France

Paris, Île-De-France, France

Control Frameworks, Operational Risks & Internal Control, Project Management:­- Oversight & Guidance: Led system and process audits, providing integration oversight. Conducted reviews, presentations, and recommendations for senior management as part of operations auditing and consultancy- Risk and Control Management: Identified, investigated, and mitigated operational risks. Developed, tested, and maintained risk control tools and dashboards to ensure consistent service levels- Issues Management: Monitored and resolved daily FO trades, settlements, and accounting discrepancies, addressing operational risks and following up on problem resolution­- Process Improvement: Led automation of operational processes using VBA including reconciliation, settlement monitoring, revenue consolidation, and client onboarding­- Stakeholder Management: Collaborated with management, Dev/IT, project owners, operations, finance, and compliance teams in Paris, London, New York, and Hong KongTrade Support, Operations & Client Service:­- Equities & Bonds Front-to-Back Operations: trade booking/control (bonds, structured products, new emissions), allocation pre-match (CTM/ALERT), Euroclear/Cedel/DOM settlement monitoring (client/PB chases, short/fail resolution), and treasury/revenue reconciliation- Clients: US/UK/EU-based Financial Institutions (Banks, Asset/Investment Management, Hedge Funds, Market Makers)Operational Accounting & Reporting:- Revenue Consolidation: Implemented and managed FO revenue consolidation for Cash Equity, Bonds, Derivatives, and MiFID II Research/Rebates­- Financial period close: reconciliation, consolidation, cost calculation, and intracompany invoices in multiple currencies for month-end close. Achieved zero discrepancy­- Bonus calculationRegulatory Compliance:­- Primary officer on MiFID II-related Research and Rebates (RCCA, IB), built system for rebates control, trades consolidation, invoice tracking, client reporting, and regulatory reporting

Paris, Île-De-France, France

- Bonds BO/MO operations: trade booking/control (bonds, structured products, new emissions), allocation pre-match (CTM/ALERT), Euroclear/Cedel/DOM settlement monitoring (client/PB chases, short/fail resolution, BOX control), and treasury/revenue reconciliation. Development of VBA tools for operations optimization and efficacy. At peak activity, 800+M EUR nominal of bonds/structured products were settled within a month on the desk.- Daily trade monitoring and error detection (booking errors, trade errors, system issues): investigation of errors and suggestions for solutions. Daily/Monthly reporting export for brokers, head of desk, and company board.- Corporate Finance: IPOs/Capital Increases, trade reconciliation vs investors’ books, settlement follow-up, and P&L allocation.- Liquidity Provider activity BO: daily control/reconciliation of credit balance, accounting records, and costs.- MiFID II Research activity: definition, implementation, development in VBA of a full CRM for research contracts (RCCAs, IBs…), including automated invoice generation and revenue calculation.

Paris, Île-De-France, France

- Front Office trade operation controls: trade tickets and revenue reconciliation on Equity, Derivatives, Bonds.- Support to Bonds operations: trade and allocation booking, SSIs matching, settlement monitoring, treasury and costs.- Support to Corporate Finance activity: IPOs/Capital Increase, Liquidity Provider activity.- Implemented a new AML/KYC process, including the development in VBA of a full CRM for KYC monitoring/reporting.

Paris, Île-De-France, France

- Onboarding new and existing counterparties: KYC, client and country risk assessment, screening of counterparties on Thomson World-Check.- Drafted comprehensive client risk analysis reports for Compliance and Management. 100+ clients onboarded (opened/refreshed).- Updated risk assessments based on multiple transnational indicators, such as FAFT, Basel AML index, and NCCT.- Drafted, updated, and implemented a new internal AML/KYC processes, including the creation of a comprehensive AML/KYC handbook for the company.

Master'S Degree, Finance And Market

Foreign Exchange, Business Management International Major, Sociology Minor

Foreign Exchange, Economic Major, Sociology Psychology Minor

Foreign Exchange, Economic Major, Conflict Management Minor

Licence, Mathématiques, Informatique Et Applications À L'Economie Et À L'Entreprise

Baccalauréat, Scientifique