Audrey MORHAN

May 2010: Risk & Compliance Officer – Société Générale Securities Services Dublin Branch (SGSS).

Organisation:
Risk Analysis (Risk Reports, Key Risk Indicators, Operational Losses & Gains),
Incidents Analysis (IT System, Pricing Error...)
Business Continuity Plan: mapping, action plans, conduct of testing, reporting
Risk Control Self-Assessment Exercise / Basle 2
Development and monitoring of management and reporting tools,
Set-up and review of procedures manual/procedure mapping,
Conduct of Risk & Compliance Committees.

Internal Control Requirements:
Compliance monitoring on all business lines, Permanent Supervision, Implementation of internal audit recommendations, Implementation of SG Group Policy: Quality / Compliance / Risk

Regulatory: Keep up-to-date and review new Directives and Legislation, Staff training, AML / KYC policies, Contact with Central Bank of Ireland, Suspicious Transactions, Embargoes & Sanctions List

Customer Due Diligence: New Client take-on: AML & KYC analysis, Client Due Diligence and scoring/risk review, Client complaint/compensation analysis.

Jul 2007 to May 2010: Trustee Team Leader – Société Générale Securities Services Dublin Branch.
Management of a 4-person team: Allocation of controls, horizontal and vertical controls, handling problems that the team has faced. Trustee team’s Projects management.

Trustee department’s reporting: to SGSS Dublin Top Management, Compliance Department and to the Risk Department in SGSS Paris. In direct contact with funds investment managers.

Quarterly reporting related to the offshore funds for the Irish Financial Regulator.

Custodian Functions: Cash and stock reconciliations between all stakeholders. Investigation to solve outstanding items: settlement issues, failed trades, corporate actions.

Supervisor of Custody confirmations process: Cash confirmations, portfolio holdings. Direct contact with the administrators, the fund managers and the auditors.

Responsible of Share Equalisation Funds and of the creation of a in-house system to automate those calculations. Working closely with the Transfer Agency,

Aug 2006 to Jul 2007: Trustee Administrator – Société Générale Securities Services Dublin Branch.

In charge of investment ratios controls on Hedge funds, UCITS and fund of funds - Irish, Cayman Funds.
In charge of a funds’ portfolio using the Share Equalisation Method.

Responsible of analysis on OTC (Over The Counter) derivatives products held by funds: back-up, analysis on OTC prices valuations and on the accuracy of prices counterparties.

Set-up of reporting using Visual Basic in order to simplify and speed up controls process.

Placement in Société Générale Securities Services Dublin Branch (SGSS) within the Banking and Transfer Agent Department.
Payment instructions, Cash receipt instructions, in contact with the Cash department of SGSS Paris, Dealing with subscriptions and redemptions orders, record keeping, in contact with the shareholders and with funds managers.

Placement within the Management Accounting Department - Société Générale - Vannes - France

Cigest Conseils (accountant office) in Lorient, France.
Accounting revisions, creation of customers’ folders, registration, tax returns...

Internship within Ernst & Young (auditing office) in Palma de Mallorca, Balearic Islands, Spain.
Auditing assistant, accountancy and auditing actions – hostelry tourism sectors.