As Head Compliance Switzerland and member of the Compliance Committee, European Governance Committee and the Man Investments (CH) AG Corporate Risk Committee. I am responsible for planning, designing, implementing and maintaining regional and companywide (coordinating role) compliance programs, policies and procedures that promote a corporate culture that fosters ethical and compliant behavior and provides the basis for ensuring adequate compliance with laws and regulatory requirements. I am in particular responsible for the Bahamas and the German speaking countries (Switzerland, Germany & Austria), Luxembourg and globally for Man Investments AG (CH) (institutional business).My core responsibilities are:• Cover all Compliance issues with the investment manager (Man Investments (CH) AG) in Switzerland • Supervisory responsibilities in the distribution area (private and institutional) of the Man products• Cover all Compliance issues for the newly setup Man Investments Luxembourg SA (investment manager under USITS rule set). Compliance responsibility for asset management and distribution (in EEA) of our Man Convertible Bond Funds (SICAV’s) • Responsible for all licensing issues with the regulators (FINMA, BaFIN, CSSF, SCB, GFSC, etc.).• AML/KYC responsibly for the Swiss regulated Man Investments entities (including coordination role for Man Investments (CH) AG branch in Nassau (new Guernsey) and the Man Investments (CH) AG subsidiaries in US/UK/Singapore). This includes the role of the Swiss MLRO and a coordinating role with the global MLRO (for Man Group plc).• Manage a team of 2 compliance officersI am also responsible for the identification, evaluation and reporting of risks of non-compliance with the regulatory rules and regulations and assisting senior management in managing effectively the compliance risks faced by the company.

Senior Compliance Officer (Director) responsible for Europe, Middle East, Africa. This role contained:• Monitoring of and adherence to the regulatory provisions and contractual agreements with clients• Compliance Monitoring in asset management and the trading desk (execution desk)• Avoidance of conflicts of interest between UBS, clients and staff• Participation in working groups as representative of Compliance• Primary contact with Fund Management Companies (Switzerland and Luxembourg) including regular review visits• Compliance responsibility for Paris, Frankfurt and Milan office• Contact to regulators• Monitoring of KYC regulations and adherence to AML provisions• Coordination function globally (UK, US, Far East)

Compliance Officer in the mutual funds area