Menu

Eric SOUBRY

Chicago

En résumé

Regulatory expert with more than thirteen years of experience in Compliance and International Tax in the Luxembourg Financial sector (Fund Industry and Corporate/Private Banking) I have a demonstrable experience in establishing clear governance systems, processes and controls which I gained while working for RBC, Banque Internationale a Luxembourg, State Street, Nomura and Northern Trust.
Currently heading the Compliance Department of Northern Trust Global Services Limited Luxembourg branch.

I hold two Master's degrees, in Criminal Law and Tax and have successfully passed the exam granting access to the French Bar School (CFPA).

Self-motivated, result oriented with strong managerial skills, I am able to successfully manage multiple and simultaneous project streams with significant legal and regulatory implications and have excellent communication skills developped in my daily relationships with Senior Management.

Mes compétences :
ACT
AIFM
AML
Banking
Compliance
Data protection
FATCA
Microsoft Cluster
monitoring
Offshoring
Outsourcing
Regulatory Affairs
Rémunération
Tax
Treasury
UCITS

Entreprises

  • Northern Trust - Chief Compliance Officer - SVP

    Chicago 2017 - maintenant

  • Nomura Bank (Luxembourg) S.A. - Chief Compliance Officer & Fraud Risk Officer

    Tokyo 2012 - 2016 - Monitoring relevant Regulations dedicated to prevent a full range of risks/legal requirements;
    - Managing Authorities’ relationships (Regulators, State Prosecutor, Judicial Police) and Customer complaints;
    - Managing Compliance aspects of Regulatory instruments such as EMIR / Dodd Frank, FATCA and the AIFMD as well as anticipating impacts of upcoming Regulatory developments;
    - Responsible for the completion of a Compliance risk assessment exercise on any new Product/Client/Service and their ongoing monitoring;
    - Reporting to the President & Chief Executive Officer and the Board of Directors/Audit Committee.

  • State Street Bank Luxembourg S.A. - Deputy Chief Compliance Officer - Head of Regulatory Compliance

    2006 - 2012 Deputy Chief Compliance Officer
    Head of Regulatory Compliance & Projects Department
    Group Corporate Secretary (locations: Luxembourg, Germany, United Kingdom, Italy, Switzerland and Austria)

    - Monitoring and analyzing local, European and US Regulations dedicated to prevent a full range of risks/legal requirements such as Money Laundering, Market Abuse, Fraud, Insider Trading, Banking Secrecy, Data Protection and Corporate Information Security;
    - Leading and coordinating a Regulatory Steering Committee dedicated to anticipate new regulations, market trends and to ensure the adequacy of the Bank’s control framework with them;
    - Managing Authorities’ relationships (Regulators, State Prosecutor) and customer complaints;
    - Performing due diligence on New Deal/Product and reporting conclusions to the Committee;
    - Overseeing European subsidiaries and branches as well as outsourced and offshored activities;
    - Managing Compliance aspects of the FATCA implementation project within the EMEA area;
    - Coordinating Bank’s external and internal audits (SAS 70 GCE, Long Form Report) and ensuring proper oversight over the efficient closing of any recommendation;
    - Reporting to the local Management Board and Corporate compliance.

  • Dexia Banque Internationale à Luxembourg S.A. - Senior Tax Manager

    2006 - 2006 Management - 5 persons team
    Tax Analyst:
    - In charge of re-designing the overall Tax optimization offer of the Bank;
    - Managing in cooperation with the Bank’s inhouse Lawyers an analysis of the beneficial ownership disclosure requirements applicable in some Nordic countries;
    - Handling responsibility for the Institution’s US QI Process and the related IRS Audit.

  • RBC Dexia Investor Services Bank Luxembourg S.A. - Tax Analyst

    2004 - 2006 Tax Analyst:
    - Monitoring of International tax laws and double tax treaties;
    - Management of the US Qualified Intermediary status and reporting;
    - Handling of internal and customers queries concerning juridical and tax matters.

  • Banque Martin Maurel - Tax Counsel - Estate Planning Dept. - Internship

    Marseille 2002 - 2002 - Identifying innovative tax optimization solutions for High Net Worth customers;
    - Restructuring companies for gaining in tax efficiency and anticipating clients' needs;
    - Setting up an Internal Tax optimization training program.

Formations

Réseau

Annuaire des membres :