Stéphane MANTEAU

En résumé

Entreprises

• BNP Paribas Personal Finance - Head of Compliance / Oversight of Operational Permanent Control (2OPC) of the Euro Region

  Levallois Perret 2012 - maintenant Head of Compliance of the Euro Region of BNP Paribas Personal Finance (Germany, Belgium, Spain and Portugal) Hierarchically linked to the CEO of the Region, I have to :
  ● act as the entities’ senior manager responsible for compliance oversight,
  ● ensure the maintenance and consistency of compliance standards, policy and documentation making the PF entities compliant with all relevant regulatory requirements and Group policies.
  ● timely deliver / validate reports on compliance matters for the PF Group Head of compliance
  ● contribute to discussions on new business activities providing compliance expertise and advice ensuring that regulatory requirements can be met and that conflict of interest is dealt with.
  ● contribute to the strengthening of the Compliance function in each country (support and transfer of skills),
  ● manage the Entities’ Heads of Compliance by :
  - Taking part in their appointments and their appraisals,
  - Setting their targets according to :
  * the performance of their entities and their departments,
  * the Group strategy,
  * modifications to the banking regulation.
  ● monitor the integration of new structures within the Region [acquisitions (like the ex-Fortis entities) or creations] or the run-off of entities upon which the activities have to be stopped.
  ● ensure the supervision of the operational permanent control system, by coordinating the control plans and by performing second level controls,
  
  “Euro” Region BNPP PF: Staff:3500, Compliance staff:37, NBI 2013:964 M, Outstandings 2011 : 14.7 Mrd, Business : Retail Banking
  

• BNP Paribas Personal Finance - Head of Compliance of the Northern Europe Region and of the HNWI Business line

  Levallois Perret 2009 - 2012 Head of Compliance of the Northern Europe Region and of the HNWI Business line of BNP Paribas Personal Finance (Germany, Belgium, Norway, Netherlands, Poland, UK and Switzerland). Hierarchically linked to the CEO of the Region, I had to perform the same missions as the ones described above and, within the Entities located in London & Geneva (HNWI business line), develop and implement a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks
  
  Northern Europe Region BNPP PF: Staff: 1500, Compliance staff:29, NBI 2011:525 M, Outstandings 2011 : 22 Mrd, Business : Retail Banking (including an HNWI Business Line)
  
  

• UCB Hypotheken (BNP Paribas Personal Finance) - Head of Compliance of UCB Hypotheken

  2006 - 2009 Head of Compliance of UCB Hypotheken (UCBH - BNP Paribas Group) at Rotterdam (Netherlands). Directly linked to the CEO, I had to :
  ● act as UCBH focal point as regards general developments in the regulatory regime / Group standards, co-ordinating and managing the firm's response and reporting and advising senior management as required.
  ● implement the compliance monitoring program, including regular reporting to local management and group compliance
  ● be responsible for maintaining the correct adherence to the Sanctions Lists, and managing the bank's automated sanctions-filtering software system.
  ● produce SARs to the Authorities as and when necessary.
  ● develop and strengthen relationships with the business heads, the relationship managers, operational managers and staff to promote best practice and ensure a good understanding of compliance requirements.
  ● provide necessary training to staff as required to ensure that each individual is made aware of his or her regulatory obligations and of the procedures needed to ensure compliance.
  ● ensure that any proposed new business initiatives consider compliance implications.
  ● establish procedures to ensure that all levels of staff are aware of relevant regulatory requirements.
  ● ensure that the activities of UCBH will quickly pick up again in case of disaster
  ● manage a team of internal controllers (hierarchical links) and a team of Internal Control Correspondents (functional links),
  ● negotiate and ensure that the outsourcing contracts are compliant and perform a follow up of the “providers of essential services”(via some reporting and specific committees),
  ● coordinate the set-up of risk maps, procedures and control plans related to each UCBH activity,
  ● guarantee the completeness of operational incident reports, identify potential incidents and proceed to their quantification
  
  UCB Hypotheken: Staff: 50, Compliance staff:2, NBI 2011:84 M, Outstandings 2011 : 11 Mrd, Business : Retail Banking
  
  

• Union de Crédit pour le Bâtiment (Groupe BNP Paribas) - Internal Auditor

  2002 - 2006 Internal Auditor within the « Union de Crédit pour le Bâtiment (UCB) » (BNP Paribas Group). Linked to the General Management, my main responsibilities were to:
  ● perform audits and missions of risk assessement in France and in foreign countries,
  ● perform third level periodic controls (assessment of controls carried out by the Entity) ,
  ● implement the operational risk management within UCB France,
  ● fight against fraud and money-laundering (investigation on fraudulent files, TRACFIN reports, implementation of AML systems within sensitive Departements).
  
  

• Caisse des dépôts et Consignations (CDC) - Internal Auditor

  Paris 2000 - 2001 Apprenticeship contract at the Internal Audit Department of the core business “Deposits, Savings and Public Financings” of the “Caisse des Dépôts et Consignations (CDC)” in Paris. Under the authority of the Head of Audit, my missions consisted in performing operational audits within the CDC Regional directions
  

Formations

• Institut D'Administration Des Entreprises IAE

  Puyricard 2000 - 2001 D.E.S.S (mention Bien) d’Audit interne des organisations à l’Institut d’Administration des Entreprises (IAE) d’AIX EN PROVENCE
  
  School with an EQUIS certification and master’s accredited by the Association of MBAs.
  Within the D.E.S.S, I also wrote a master’s thesis dealing with the Audit of Urban Communities. This thesis was chosen to be entered for the IFACI prize (today called “Olivier Lemant prize”) of the best master’s thesis awarded by the “Institut Français de l’Audit et du Contrôle Interne (IFACI)”

• Institut D'Etudes Politiques

  Aix En Provence 1998 - 2000 Licence et Maîtrise de Management des entreprises et des organisations (mention AB)

• Université Dijon Bourgogne

  Dijon 1996 - 1998 D.U.T Gestion des Entreprises et des Administrations (Finances-Comptabilité)