Eric Soubry
Deputy Chief Compliance Officer (AVP) - Head of Regulatory Compliance & Projects
Regulatory expert with seven years experience in Compliance and International Tax in the Luxembourg Financial sector (Fund Industry and Corporate/Private Banking) I have a demonstrable experience in establishing clear governance systems, processes and controls which I gained while working for RBC Dexia IS, Dexia BIL and State Street Bank Luxembourg where I currently head the Compliance - Regulatory affairs Department composed of 5 persons.
Holder of two Master’s degrees, in Criminal Law and Tax, I successfully passed the exam granting access to the French Bar (CFPA).
Self-motivated, result oriented with strong managerial skills, I am able to successfully manage multiple and simultaneous project streams with significant legal and regulatory implications and have excellent communication skills developped in my daily relationships with Senior Management.
Speaking a fluent English and French (native), I also have a proficient level in Spanish.
25 contactsCompliance Officer - Regulatory - State Street Corporate Compliance
- Monitoring and analyzing local, European and US Regulations dedicated to prevent a full range of risks/legal requirements such as Money Laundering, Market Abuse, Fraud, Insider Trading, Banking Secrecy, Data Protection and Corporate Information Security;
- Leading and coordinating a Regulatory Steering Committee dedicated to anticipate new regulations, market trends and to ensure the adequacy of the Bank’s control framework with them;
- Managing Authorities’ relationships (Regulators, State Prosecutor) and customer complaints;
- Performing due diligence on New Deal/Product and reporting conclusions to the Committee;
- Overseeing European subsidiaries and branches as well as outsourced and offshored activities;
- Coordinating Bank’s external and internal audits (SAS 70 GCE, Long Form Report) and ensuring proper oversight over the efficient closing of any recommendation;
- Reporting to the local Management Board and Corporate compliance.
2006 - 2006Management - 5 persons team
Tax Analyst:
- In charge of re-designing the overall Tax optimization offer of the Bank;
- Managing in cooperation with the Bank’s inhouse Lawyers an analysis of the beneficial ownership disclosure requirements applicable in some Nordic countries;
- Handling responsibility for the Institution’s US QI Process and the related IRS Audit.
2004 - 2006Tax Analyst:
- Monitoring of International tax laws and double tax treaties;
- Management of the US Qualified Intermediary status and reporting;
- Handling of internal and customers queries concerning juridical and tax matters.
2002 - 2002- Identifying innovative tax optimization solutions for High Net Worth customers;
- Restructuring companies for gaining in tax efficiency and anticipating clients' needs;
- Setting up an Internal Tax optimization training program.