Paul-Marc Lachaud
Cambridge,USA
Summary
Dynamic Chief Compliance Officer with a proven track record at Mirova US LLC, excelling in risk mitigation strategies and project oversight. Spearheaded global compliance initiatives, enhancing operational efficiency and ensuring regulatory adherence. A strategic leader with exceptional problem resolution skills, dedicated to fostering a culture of compliance and integrity across organizations.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Chief Compliance Officer (CCO)
Mirova US LLC
Boston, USA
08.2023 - Current
- Lead enterprise-wide efforts to develop and implement global Compliance Policies and Procedures and an effective compliance testing and monitoring program.
- Prepare quarterly compliance reports intended for the Firm’s Supervisory Board and Audit Committee focusing on Financial Reporting, Corporate Compliance, Internal Control, Operational Risk management, Risks associated with Core Business, Information Systems Security, Business Continuity Planning, and Internal Audit.
- Liaise with regulators and internal and external audit teams.
- Lead in-house compliance education efforts across Flexstone’s entities.
Chief Compliance and Risk Officer
Flexstone Partners, LLC
New York, USA
04.2019 - 08.2023
- Spearheaded development and implementation of global Compliance Policies and Procedures.
- Prepared quarterly compliance reports for Supervisory Board and Audit Committee, addressing financial reporting and operational risk management.
- Collaborated with regulators and audit teams to ensure compliance standards were met.
- Directed in-house compliance education initiatives across all Flexstone entities.
Director – Surveillance, Monitoring & Testing Group, Vice President – Permanent Controller
Natixis North America LLC
New York, USA
01.2018 - 04.2019
- Conducted testing of controls on US platform activities, analyzing regulations and existing procedures.
- Developed compliance risk assessments and annual control plans to mitigate potential risks.
- Led internal and external audits, regulatory exams, and inquiries for compliance verification.
- Managed relations with Head Office in Paris, ensuring seamless communication and collaboration.
Chief Compliance Officer (CCO), Chief Risk Officer (CRO)
Seventure Partners, Natixis Investment Managers affiliate, BPCE Group
, France
10.2014 - 09.2016
- Managed all risks faced by company in collaboration with President of Management Board.
- Conducted thorough analysis on investment issues and projects to identify contradictions.
- Ensured effective operation of CCO and CRO regulatory functions, including internal controls.
- Oversaw prevention and management of conflicts of interest and anti-money laundering policies.
- Monitored regulatory compliance, created and updated relevant procedures, and reported to main shareholder.
- Maintained strong relations with regulatory authority to ensure adherence to guidelines.
Chief Compliance Officer (CCO)
OSSIAM, Natixis Investment Managers affiliate, BPCE Group
, France
03.2011 - 10.2014
- Designed, implemented, and managed all areas of compliance, including firm policies and compliance with all applicable laws.
- Implemented an effective compliance testing program ensuring AMF (French regulator) compliance and assisted in oversight of fund portfolios and ensured compliance with various regulations which resulted in mitigating any regulatory risks.
- Reviewed and approved financial and non-financial disclosures to ensure compliance with states securities regulations.
- Completed regulatory questionnaires and audits.
- Led in-house compliance education efforts across the organization minimizing risk exposure.
- Managed Operational Risks.
Deputy Team Leader – Group Internal Audit
BPCE, BPCE Group
, France
09.2007 - 02.2011
- Conducted risk assessments for bank and subsidiaries as part of Group Internal Audit team.
- Evaluated control environments in audited areas to ensure compliance and effectiveness.
- Identified weaknesses and formulated recommendations to enhance business efficiency.
Auditor / Controller
CACEIS Bank
, France
02.2006 - 08.2007
- Conducted annual certification and semi-annual control of funds’ inventories in collaboration with accountants.
- Audited asset management firms and companies responsible for funds’ valuations.
International Settlement Operator
Société Générale – IXIS Investor Services
, France
08.2005 - 01.2006
Sales Representative – FOREX trading platform
SNC Investments, INC.
San Francisco, USA
08.2003 - 03.2005
Education
MBA - Finance, International Business
Kent State University
Kent, OH05.2003
Master of Science - Management
Université Montesquieu-Bordeaux IV
Bordeaux, France06.2001
Skills
- Project oversight
- Risk mitigation strategies
- Leadership and teamwork
- Strategic analysis
- Problem resolution skills
- Organizational proficiency
Personal Information
Nationality: French American
Residency
Canadian
Certification
- FINRA Series 7 - General Securities Representative Exam
- Certified Anti-Money Laundering Specialist (CAMS)
- CCO professional certification delivered by the French regulatory authority
- FINRA Series 3 – National Commodities Futures Examination
Languages
French
Native/ Bilingual
English
Native/ Bilingual
Timeline
Chief Compliance Officer (CCO)
Mirova US LLC
08.2023 - Current
Chief Compliance and Risk Officer
Flexstone Partners, LLC
04.2019 - 08.2023
Director – Surveillance, Monitoring & Testing Group, Vice President – Permanent Controller
Natixis North America LLC
01.2018 - 04.2019
Chief Compliance Officer (CCO), Chief Risk Officer (CRO)
Seventure Partners, Natixis Investment Managers affiliate, BPCE Group
10.2014 - 09.2016
Chief Compliance Officer (CCO)
OSSIAM, Natixis Investment Managers affiliate, BPCE Group
03.2011 - 10.2014
Deputy Team Leader – Group Internal Audit
BPCE, BPCE Group
09.2007 - 02.2011
Auditor / Controller
CACEIS Bank
02.2006 - 08.2007
International Settlement Operator
Société Générale – IXIS Investor Services
08.2005 - 01.2006
Sales Representative – FOREX trading platform
SNC Investments, INC.
08.2003 - 03.2005
MBA - Finance, International Business
Kent State University
Master of Science - Management
Université Montesquieu-Bordeaux IV