Dr. Henry Oguine, MBA, DBA
Chief Compliance & Risk Officer
Salaire / Taux journalier
Luxembourg
Freelance
Expertises
Langues
À propos
Introduction
Compliance & Risk expert with 15+ years in financial services across asset management, banking, and insurance sectors in Luxembourg. As Chief Compliance Officer and MLRO, I've designed enterprise-wide AML/KYC regimes, harmonized compliance frameworks post-M&A, and established end-to-end regulatory compliance programs. I deliver robust compliance solutions, regulatory reporting, and risk management strategies tailored to financial institutions.
Expérience de travail
Alfa Asset Management (Europe) S.A.
févr. 2023 - Présent
3 ans 9 mois
Luxembourg
Chief Compliance & Risk Officer
juil. 2023 - Présent
3 ans 4 mois
Luxembourg
Acting as Chief Compliance Officer (CCO) and Money Laundering Reporting Officer (MLRO) registered with the CSSF for the Company’s Luxembourg Service Providers Production, Communication, and rollout of Procedures and Policies Oversight, revision, and completion of all regulatory reporting and submission to the relevant regulators especially the CSSF Regulatory engagement on an ongoing basis Establishment of end-to-end compliance and financial crime framework for the Company’s regulated entity including drafting of Compliance Policies, implementing a monitoring program, and creating general compliance awareness across the company Performance of horizon scanning and monitoring of conformance with applicable laws and regulations covering the fields in which the company operates in Ensuring timely reporting of compliance risks and incidents within the company and its regulated entities Responsible for the MLRO function and the point of contact for dealing with Suspicious Activities and Reporting same to competent authorities Responsible for Activity Reports on sanctioned individuals and entities and escalation of same to the Authorised Management, Board, and competent authorities Delivering training to staff (including authorized management and Board) in areas of AML/CTF and related risks Oversight and assistance in the implementation of appropriate operational and control procedures to mitigate compliance risk; including compliance-related input to the development of new or significant changes to existing services and business capabilities Reporting on an ongoing basis on compliance and AML-related issues with reporting line to the CEO, Authorised Management, Local Boards, and Committees Providing compliance advice to all stakeholders as well as resolution of all related queries with clients. Oversight of the compliance function and development of the Compliance Team. Other tasks and activities as may be defined by the Management and Board.
Senior Compliance Consultant
févr. 2023 - juil. 2023
6 mois
Luxembourg
Filling annual closing reports in compliance with various CSSF Circulars (Knowledge + Competence; Compliance Activity Report; Management Report on Internal Control Functions; AML Self-Risk Assessment Report; etc) Strengthening and enhancement of existing Compliance Policy Strengthening and enhancement of existing Risk Appetite Policy Development and enhancement of Product Suitability and Appropriateness Policy Development of Product Governance Policy Enhancement of the MiFID Knowledge and Experience Policy Target Market Definition Fee Transparency Policy Enhancement of the AML Policy Development of a new KYC Policy and establishment of robust KYC remediation governance Development of new enhanced client due diligence especially for high-risk clients Sanctions Screening and Resolution
Compliance Manager
Apex Fund Services
juin 2022 - déc. 2022
7 mois
Luxembourg
Harmonization of the compliance policies of the companies recently acquired by Apex, involving significant negotiation, diplomacy, and tact in managing the expectations of the compliance professionals within the newly acquired entities. Design of an Apex-wide AML/KYC regime. Strengthening of the “first line of defense” with regards to client onboarding - investor risk profiling and level of due diligence to be applied by the Luxembourg AML Laws and the relevant CSSF Circulars
Head of Compliance - Europe
Tindall Riley & Co Limited
déc. 2021 - mars 2022
4 mois
Luxembourg
Consultant
juin 2020 - déc. 2021
1 an 7 mois
Director, Head of Investment Operations
Swiss Life Products
avr. 2017 - mai 2020
3 ans 2 mois
Luxembourg
More than 15 years of operational, management and leadership roles and experience in the financial sector from asset management, banking, and modern/non-traditional insurance services. • Track record of implementing strategic and business objectives and providing proactive operational and project management support with a solution-oriented approach and successful delivery • Proven track record in business operations reengineering and process optimisation • Substantial experience in working on a wide range of international financial projects and business matters, acting as an operational advisor to multi-function, multi-level, and multi-cultural teams. • Broad operational and management experience in product development, project management, relationship building and management, negotiation, coordination and implementation of strategic business initiatives. • Experience in building and management of operations teams, support for front office, finance, relationship with risk management, product development, sales, and compliance teams. • Substantial experience working on, coordinating and managing Group matters at the level of Corporate (C-Level) Centre and supporting interaction between Corporate Centre and local profit centres and business units. • Insight in media, Internet-related projects and various digital and business automation initiatives. • Experience in dealing with Executives, Board of Directors, and regulators.
Associate Director
Swiss Life Products (Luxembourg) S.A.
mars 2012 - déc. 2016
4 ans 10 mois
Luxembourg
• Authorised (A Signatory) Signatory of the company • Member of Investment & Risk Committee • Asset/fund manager monitoring – risk limit and investment compliance/controls • Supervision and implementation of regulatory-related projects - e.g. EMIR/Dodd Frank Regulatory requirement projects • Negotiation and management of financial contracts including ISDA/CSA agreements, clearing broker contracts and Central Clearing Party (CCP) agreements. • Selection of financial securities (Bonds, Structured Products, Funds – UCITS and non-UCITS) and fund providers for underlying for insurance products • Management and oversight of third party service providers – fund managers, custodians, and other financial intermediaries • Supervision and management of the local (Luxembourg) Investment Operations Team (Middle and Back Office) • Coordination and management of internal and cross-border investment operation activities (Munich, Zurich, and Lichtenstein • Staff recruitment and training and career management • Period-end group reporting – budgeting and projections • Representing the company in external meetings and events • Negotiation and implementation of Service Level Agreements (SLAs)
Investment & Hedging Associate
Swiss Life Products Luxembourg
avr. 2008 - mars 2012
4 ans
Swiss Life Products (Luxembourg) S.A.
Reporting to the Chief Investment & Hedging Officer - Manage Variable Annuity Insurance Portfolios
Student
John F. Welch College of Business, Sacred Heart University Luxembourg
janv. 2007 - déc. 2009
3 ans
MBA in Finance
Senior Officer, Asset Management
Swedbank Luxembourg
oct. 2007 - mai 2008
8 mois
Reporting to the Head of Asset Management - Managing the Assets of Private Banking Clients
other
Schroders investment Management Luxembourg
janv. 2004 - déc. 2007
4 ans
Worked in a team responsible for administering Schroders funds range
Formation
Business School Lausanne (BSL)
Doctor of Business Administration, Business Administration, Management and Operations
2014 - 2019
6 ans
Sacred Heart University
MBA Finance, Finance Major
2007 - 2009
3 ans
Licences et certifications
MBA Finance
Délivré le : nov. 2025