Sebastien Desbois

Covea Finance, Asset Management Company of a French Insurance Company COVEA (MAAF, GMF & MMA). Asset Manager with 100.6 Bn€ AuM (2019), regulated under AIFMD (ie FIVG, FFA, Capital Investment, Private Debt, Private Equity), UCITS and MIFID. - Manage a team of compliance officers, - In charge of the Compliance Risk Assessment, Compliance Monitoring Program (risk based approach) and business continuity plan, - Set-up global risk mapping, - Ensure that first level controls are operational as they should, - Performed second-levels controls in line with yearly internal control plan, policies and procedures, - Provide remediation solutions to operational breaches, - Prevent and detect market abuse and develop new special purpose IT tools, - Ensure that the KYC/AML checks are undertaken in accordance with French and Luxembourg regulation, - Specific Audit, - Implementation of new European, Luxembourg and French regulations (UCITS, AIFM, MIFID II, MAR, KYC, AML, Private Equity, IPEV guidelines) - Reporting to the top Executives Management on quarterly basis, - Responds to any requests from regulator, revisors and internal auditors, - Validate commercial documents (videos, flashes, articles, report, prospectus, reporting), - Drafting and updating policies and procedures related to the compliance department, - Validate policies and procedures, - Follow-up and training co-workers on policies and Procedures (MAR, AML Risk, Sanctions, MIFID… ) - Working group with the Association Française de Gestion financière (AFG). During these meetings are addressed the main topics of the industry, and the professional doctrine is drawn up, - Jury member at AMF to award RCCI’s professional licence, - Setting up an Execution Management System (VIRTU FINANCE).