Genève

Supervisory & Quality Board and Group of Experts – Geneva

Chairman / Supervisory & Quality Board / Geneva 2018

Yvan Mermod (Head Appeals Committee Geneva)

KPMG AG, Genève

Barbara Ofner

Partner, EY FSO – Legal, Regulatory & Compliance

Barbara Ofner

Background

  • Barbara is a Partner within FSO Legal, Regulatory & Compliance, based in Geneva
  • She has over 15 years experience in  legal, regulatory and compliance questions in the financial industry. She joined Ernst & Young’s Geneva office in 2009 after having worked in the Zurich office for a number of years
  • Barbara holds Law degree of the University of Fribourg;  she is an Attorney-at-law and has an LL.M. of the University of Toronto
  • She fluently speaks German, French and English and has good knowledge in Italian

Skills

  • Extensive experience in legal and regulatory advisory  for financial services providers
  • Sound experience in implementation of compliance topics
  • Solid experience in leading teams and managing projects
  • Occasional lecturer

Professional experience

  • Barbara is specialized in banking and securities law, capital market law and legal/regulatory topics related to asset management and general banking law
  • She has a profound experience in leading large projects namely for cross-border issues for Swiss and foreign banking groups and has been as well as KYC file reviews and is involved in various MiFID II projects
  • Barbara has lead several investigation projects, amongst others investigations requested by FINMA
  • Barbara is well experienced in due diligences in the financial sector, namely in the legal/regulatory field
  • She has a sound knowledge in implementing and enforcing compliance procedures, internal rules and directives
  • Barbara has also supported various clients in filing their applications for the relevant authorizations with the Swiss Financial Market Supervisory Authority
  • She has experience in analyzing, drafting and amending form documents and customer contracts of banks and in advising banks on internal guidelines and directives
  • In addition to her knowledge and experience in analyzing, implementing and enforcing rules and regulations regarding general banking law, Barbara has expertise in performing external audits for banks regarding compliance procedures and internal rules and directives on anti-money laundering and “know-your-customer” provision.
  • Prior joining Ernst &Young Barbara worked in the Legal & Compliance department of a foreign owned bank in Switzerland active in the private banking business 

Members / Supervisory & Quality Board Geneva

Lionel Aeschlimann

Mirabaud SCA, Managing Partner
Mirabaud Asset Management (Suisse) SA, CEO

Lionel Aeschlimann

Born 1966
Swiss nationality

 Mirabaud SCA, Managing Partner

Mirabaud Asset Management (Suisse) SA, CEO
29, bd Georges-Favon
1204 Geneva - Switzerland

Lawyer at the Geneva bar since 1994, Lionel Aeschlimann joined Mirabaud & Cie in 2010 as a Member of the Executive Committee. He has been Managing Partner since January 2011 and responsible for the Asset Management line of business, as well as for the legal aspects and compliance of the Bank’s activities. Previously, he was a lawyer at the firm Brunschwig Wittmer in Geneva from 1994 to 1999, then Partner with the firm Schellenberg Wittmer, Geneva and Zürich.

Mr Aeschlimann is also a member of the Expert Commission of Asset Management of the Swiss Funds & Asset Management Association, the Commission Suisse des OPA [Swiss Takeover Board], as well as of the board of the Avenir Suisse Foundation.

Philippe Bens

CACEIS Bank Switzerland Branch, Nyon

Dr. Rainer Landert

Dr.oec publ., Leiter Fund Academy AG, Zürich.

Rainer Landert

Rainer Landert est diplômé des études pédagogiques et de la Faculté de Sciences Economiques de l’Université de Zürich. Après 3 ans auprès de CS New York (Swiss American Securities INC.), il a participé à la création de fonds pour la banque Vontobel, puis dirigé Swissca (direction de fonds devenue depuis Swisscanto) et Fondvest AG. Il a fondé Fondcenter AG et en 2001 Fund Academy, une école dédiée à la formation des professionnels des métiers des placements collectifs et de l’Asset Management. En 2003, il participe à la création du Forum Friends of Fonds à Zürich et à Genève, puis du magazine B2B pour les Placements Collectifs et enfin récemment à la conférence Swiss Fund Forum pour les investisseurs (2017).

Jean-Sébastien Lassonde

PricewaterhouseCoopers SA, Genève

David Martin

Pictet Asset Management, Genève

Yvan Mermod

KPMG AG, Genève

Barbara Ofner

Partner, EY FSO – Legal, Regulatory & Compliance

Barbara Ofner

Background

  • Barbara is a Partner within FSO Legal, Regulatory & Compliance, based in Geneva
  • She has over 15 years experience in  legal, regulatory and compliance questions in the financial industry. She joined Ernst & Young’s Geneva office in 2009 after having worked in the Zurich office for a number of years
  • Barbara holds Law degree of the University of Fribourg;  she is an Attorney-at-law and has an LL.M. of the University of Toronto
  • She fluently speaks German, French and English and has good knowledge in Italian

Skills

  • Extensive experience in legal and regulatory advisory  for financial services providers
  • Sound experience in implementation of compliance topics
  • Solid experience in leading teams and managing projects
  • Occasional lecturer

Professional experience

  • Barbara is specialized in banking and securities law, capital market law and legal/regulatory topics related to asset management and general banking law
  • She has a profound experience in leading large projects namely for cross-border issues for Swiss and foreign banking groups and has been as well as KYC file reviews and is involved in various MiFID II projects
  • Barbara has lead several investigation projects, amongst others investigations requested by FINMA
  • Barbara is well experienced in due diligences in the financial sector, namely in the legal/regulatory field
  • She has a sound knowledge in implementing and enforcing compliance procedures, internal rules and directives
  • Barbara has also supported various clients in filing their applications for the relevant authorizations with the Swiss Financial Market Supervisory Authority
  • She has experience in analyzing, drafting and amending form documents and customer contracts of banks and in advising banks on internal guidelines and directives
  • In addition to her knowledge and experience in analyzing, implementing and enforcing rules and regulations regarding general banking law, Barbara has expertise in performing external audits for banks regarding compliance procedures and internal rules and directives on anti-money laundering and “know-your-customer” provision.
  • Prior joining Ernst &Young Barbara worked in the Legal & Compliance department of a foreign owned bank in Switzerland active in the private banking business 
François Rayroux

Lenz & Staehelin Avocats, Genève

Raoul O. Würgler

Association of Foreign Banks in Switzerland, Zurich

Correction-Team – Genève

Chirine Hartmann

BNP Paribas, Genève

Selda Karaca

CACEIS (Switzerland) SA, Nyon

Zoé Kneuss

Retraites Populaires, Lausanne

Zoé Kneuss

Après l’obtention d’un bachelor HEG en emploi auprès de Lombard Odier et Cie SA, Zoé s’essaie à l’audit bancaire puis saisit l’opportunité d’améliorer son anglais en partant 6 mois en séjour linguistique au Canada. A son retour, Zoé travaille quelques mois en tant que comptable hedge funds à BRT SA puis retourne à la banque qui l’avait formée dans le cadre d’un contrat à durée déterminée. A la fin de ce contrat, elle décide de réaliser un rêve de longue date et de partir faire un tour du monde. En 2014, elle rejoint Retraites Populaires à Lausanne d’abord dans un poste de middle office puis, peu après l’obtention du diplôme de Swiss Fund & Asset Management Officer, en tant qu’investment controller et compliance officer de la division investissements, poste qu’elle occupe à l’heure actuelle.

Christina Riva

Licence en Sciences Economiques (Ec. Pol.), de l’Université de Genève.

Christina Riva

Christina a plus de 20 ans d’expérience en banque et finance, notamment comme Secrétaire Générale d'EIM - un groupe financier international spécialisé dans la gestion multigestionnaire alternative et long-only.

Actuellement elle exerce à Genève une activité de Consultante indépendante en matière réglementaire pour l’Asset Management.

Christina est Responsable du développement de Fund Academy en Suisse Romande.

Thomas Stanat

Patrimonium Asset Management AG, Echandens

Thomas Stanat est le responsable de la conformité (Compliance) au sein de Patrimonium Asset Management SA, gestionnaire des investissements en directs dans l'Immobilier, Private Debt, Private Equity et Infrastructure. Il a travaillé auparavant comme Mandate Manager Private Equity au sein d'Unigestion et comme auditeur au sein de PwC Genève et Luxembourg. Il a débuté sa carrière à la VR Bank comme analyste des risques de crédits entreprises. Titulaire d’un Master of Business Administration (MBA), il possède plusieurs diplômes en Droit, Risque & Compliance, dont le Swiss Fund & Asset Management Officer diplomé.