Summary
Work History
Education
Skills
Miscellaneous
Affiliations
Languages
References
Timeline
Generic

Clarisse Houll

Luxembourg

Summary

Reliable Head of Compliance and risks demonstrating high level of ownership and initiative. Possessing exceptional work ethic with an entrepreneurial spirit and offering progressive experience in operations leadership.
Skilled at identifying and implementing process improvements to drive efficiency and productivity.

Work History

Head of Compliance and Corporate Risk

Finexis S.A.
Luxembourg
2020.10 - Current
  • Remediation and realignment of the Compliance function and other AML/CFT matters with regulatory requirements and fund industry professional standards
  • RC appointed by the Board of directors of the company and of funds managed by the ManCo/AIFM
  • Corporate Risk Management: identification, assessment, quantification and solutions for managing these risks
  • Point of contact with auditors (internal and external)
  • Secretary to the Board of Directors meetings

Manager Regulatory Compliance

RBC Investor Services Bank S.A.
Luxembourg
2016.01 - 2020.01
  • Oversight of the Compliance function of Asian subs and branches
  • SREP (Supervisory Review and Evaluation Process) – JSTs findings and CMP
  • Manager Corporate Compliance Advisory
  • Advisory on Bank regulatory framework i.e., data protection, outsourcing, banking secrecy
  • Regulatory projects: Compliance representative (MiFID2, CSDR, MMFR, SFTR, PSD2, GDPR)
  • Assessment of new EU and Luxembourg laws and regulations
  • New Business & Activities Committee: Compliance representative for Luxembourg at Group level

Compliance Function: 2nd in Charge

Crédit Agricole -Luxembourg
Luxembourg
2013.01 - 2015.01
  • Compliance advisory and oversight of the Compliance function of the Spanish branch
  • Market abuse, AML/CTF, MiFID, KYC, fraud, regulatory analysis, policies, conflicts of interest, tax evasion, whistleblowing, risk matrix - CMP, client’s complaints, internal trainings
  • Committees: credit, client acceptance, AML/CTF, market abuse, data protection, NAP, complex and sensitive operations, UHNW clients, high-risk clients, PEP, insurance brokerage, offshore structures
  • Point of contact with the FIU, internal and external auditors

Compliance Officer

Bank Leumi -Luxembourg
Luxembourg
2010.01 - 2011.01
  • All Compliance and AML/CTF topics, offshore structures, liaison with internal and external auditors, investigations, monitoring, Due Diligences
  • Implementation of the Client Acceptance Committee (CAC)
  • Policies, procedures and processes’ review
  • Controls and reporting: AML/CTF, high-risk clients
  • Reporting to Group Head of Compliance

Client Advisors Support

UBS - Luxembourg
Luxembourg
2007.01 - 2010.01
  • Client advisory: daily cooperation and support, backup of the senior client advisors

Compliance and Management of Clients’ Documentation (KYC)

UBS - Luxembourg
Luxembourg
2003.01 - 2007.01
  • Supervision of AMEX clients acquisition
  • Implementation of a CRM tool
  • Implementation of a new credit card provider

Internal Control

Banque Ferrier Lullin - Luxembourg
Luxembourg
1999.01 - 2002.01
  • Set-up of the Internal Control function
  • Merger with UBS: monitoring of the transfer of internal control activities

Occasional Trading, Middle-office, New Bonds Listing

Lazard Frères et Cie - Paris
Paris
1983.01 - 1989.01
  • Lazard as co-lead manager of bonds issues

Education

01.2023

01.2016

01.2016

01.2013

01.2012

01.2012

01.2011

01.2010

01.2009

01.2006

Skills

  • Visionary
  • Management and organisation
  • Good communicator
  • Audit Coordination
  • Risk Assessment and Management
  • Project Coordination
  • Corporate Governance
  • Regulations Enforcement

Miscellaneous

MS Office

ALCO, ALFI, ALRIM member

House of Training and ATTF: lecturer and jury chairperson for the Compliance certifications

Creator of Compliance training programmes 

Affiliations

  • Trekking, skiing, reading, travelling

Languages

French
First Language
English
Proficient (C2)
C2
German
Intermediate (B1)
B1

References

References available upon request.

Timeline

Head of Compliance and Corporate Risk

Finexis S.A.
2020.10 - Current

Manager Regulatory Compliance

RBC Investor Services Bank S.A.
2016.01 - 2020.01

Compliance Function: 2nd in Charge

Crédit Agricole -Luxembourg
2013.01 - 2015.01

Compliance Officer

Bank Leumi -Luxembourg
2010.01 - 2011.01

Client Advisors Support

UBS - Luxembourg
2007.01 - 2010.01

Compliance and Management of Clients’ Documentation (KYC)

UBS - Luxembourg
2003.01 - 2007.01

Internal Control

Banque Ferrier Lullin - Luxembourg
1999.01 - 2002.01

Occasional Trading, Middle-office, New Bonds Listing

Lazard Frères et Cie - Paris
1983.01 - 1989.01

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Clarisse Houll