Raphael Le Leve

Managed AML-CFT alerts, updated risk scenarios, conducted enhanced due diligence, and prepared TRACFIN reports Oversighted KYC processes, including document collection and file updates Revised and updated internal compliance procedures Administred PSAN & MICA regulatory approvals

Led a KYC remediation project at a fund custodian institution Analyzed complex client structures (Limited Partnerships, Trusts, Pension Funds, Foundations, etc.) Performed quality control of completed files Liaised with Partner Asset Management Companies to ensure compliance & quality Monitored ongoing activities and prepared operational reports Trained and mentored two junior consultants

Managed a KYC remediation project with a junior consultant at an Asset Management company Conducted audits of Investment Service Providers and supported RCCIs in 2nd level control activities

Conducted enhanced AML-CFT and Fraud reviews Prepared and submitted Suspicious Activity Reports (SARs) to TRACFIN (using ERMES format)

Handled 2nd level AML-CFT alerts and investigations Followed up on requests for additional information from various business units Developed audit trails linked to AML-CFT alerts Contributed to drafting and submitting SARs to TRACFIN Produced regular reports (Word, Excel) and prepared PowerPoint presentations for management Contributed to the revision of financial security procedures Developed AML-CFT risk scenarios and alerts Delivered general compliance training to co-workers

Developed and monitored market abuse detection scenarios, including alert processing and procedure updates Conducted Best Execution controls for trading desk operations Managed compliance checks for Gifts & Benefits Prepared regulatory reports for internal governance and the financial regulator (AMF)

Conducted 2nd level AML-CFT and KYC controls for life insurance files processed by the Back Office Assisted Back Office managers in improving 1st level controls, including weekly reporting (Word, Excel, PowerPoint)