Вадим Сазонов

• 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;