Вадим Сазонов

Вадим Сазонов

О себе

• Additional Information:PC Skills: MS Office Programs, CRM, CSM, OPERDAY, ProfitN, Telex, SWIFT, DIASOFT 5NT, Inversion-21 Century; FlexCube; Komita Courier, ARM “Organizatsiya”; BIS-MIS, SMARAGD, Bankir, CFT (IBSO), 3CardR, Lotus notes, Sugar_CRM, Docs_Vision;Languages: English: fluent; Russian: native;Ready to business trips and possible relocation tbn;Driving license, cat. 'B' (since 06.1999);Personal Characteristics: single-minded, punctual; responsible; accurate; enthusiastic; industrious; curious; polite;Hobbies and Interests: pool, bowling, soccer, tennis, music;• Core skills:English language: fluent; special economic and finance terminology; business correspondence;Advanced and versatile 8+ year compliance experience in investment, retail and corporate banking, lending and syndication, money market, FX, documentary business;Ability to assimilate new skills quickly;Very strong team player with ability to work independently and under pressure;Solid foundation and knowledge of Russian and international compliance principles;Managerial experience for 50+ employees team;Good understanding of business processes in Investment, corporate and retail banking spheres;Deep knowledge of anti-money laundering legislation (CBRF, FATF, JMLSG, Basel Committee, FSFM, FIU), and securities market legislation;Practical experience in building Compliance culture in the Russian FI from the ‘ground zero’;

Опыт работы
Финансовая Корпорация ОТКРЫТИЕ
Директор Департамента Комплаенс
Должностные обязанности:

• Compliance with national and Otkritie group standards of Brokerage, Investment management, Banking and Corporate Finance subsidiaries including FSA and CySEC regulated subsidiaries;• Ensuring compliance with regulatory requirements for broker, dealer, asset management and depositary activity as constituted by Federal Service for Financial Markets (FSFM) of the Russian Federation;• Member of the expert Council on Banking activity of the Financial market Committee of the Russian State Duma since September 2009;• Adherence to the insider dealing and market manipulation requirements as constituted by Federal Law of Russian Federation no.224-FZ dd.27.07.2010;• Overseeing Compliance function - for retail, corporate and investment banking, treasury, MM and FX, lending and syndication, retail and banking cards, documentary business. Provide full scale of Compliance: AMLCFT, Securities Compliance, Anti-Fraud, Sanctions & Embargo, ethics and staff integrity.• Strategic and policy issues at the country level regarding regulation and compliance;• Serving as a regulatory interface in professional dialogues with regulators, other banks, advisers and assisted their requirementsrequests.• Group Anti-Money laundering (CBR, FSFM, FIU, FSA JMLSG, CySEC). Dotted reporting line to myself by all Group MLROs;• Conducting regular compliance induction & refreshing training sessions and awareness workshops (including computer-based trainings) for bank staff on local and global compliance policies and procedures and on newamended Russian regulations;• Management of 50+ Group Compliance team;• Maintaining of compliance standards action plan including (Embargo and Sanctions, Chinese wall, PA Dealing, Crime & Fraud prevention and anti-corruption, social and ecology, covenants, ethics incl. hotline, etc.)Achievements:• Applied and obtained Standard & Poor’s international credit rating B- with target B+ for 2013;• Incorporated Compliance risk assessment matrix to assess and mitigate compliance risks;• Worlds best in class compliance (as measured by American and European models) applied in Russian framework from the ground zero level;• Conducted several regulatory, group Audits and external audit – no significant findings, imputed neither penalties nor prescriptions;• Set up transactions (cash and securities) filtering, monitoring and reporting framework at group level;• Staffing. (Over 200 interviews F2F and video conference for the regions);• Participated as a key stakeholders in various bank global and local projects with a relevant compliance aspect;• Participated and input some ideas during new legislation implementation (Inside law 224-FZ, AML law amendments 115-FZ) at State Duma Financial market committee;

Описание деятельности компании: Финансовая корпорация ОТКРЫТИЕ — одна из ведущих российских банковских групп, основными направлениями деятельности которой являются инвестиционный банкинг, коммерческий банкинг, а также управление активами и фондами.
Общая информация
Отрасль: Коммерческие банки
Специализация: Управление рисками
Должность: Менеджер
Английский (Свободный)
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