David Quintal Ponciano

• Manage the onsite Staff in CAD & provide supervisory quality assurance reviews of work as needed.
• Assist/Perform/Review delivery of 1C control execution and reporting in a timely manner.
• Ensure control integrity of the data throughout the reporting production (i.e. trackers, checklists, governance decks).
• Ensure that the quality controls are defined and properly designed, updating when needed.
• Strong focus on Financial Security, including AML and PIC, responsible for assessing the applicability of Group requirements (GCL) for deployment and execution.
• Lead and manage the implementation of all contract Service Level Agreements (SLAs) for the department.
• Responsible for supporting the implementation and strengthening of the department's operational resilience framework and Responsible for coordinating Third Party Vendor Management program for USD C&P (Review and QA of yearly BCP/BIA exercise).
• Incidents: collect incidents report and update in Group/local database, analyze incidents, define, with relevant stakeholders, the corrective / preventive measures and follow-up implementation. Perform controls on the collection process, in particular cross-check with other databases.
• External events: Watch over, in collaboration with Independent Control Functions, external events so that any major external event is taken into account in operational risk framework.
• Drive the RCSA process for the US and Canadian business lines and Present results to senior leadership in Operational Committees and Internal Controls Committee (ICC).
• Ensure Business Lines' awareness on group policies and procedures, act as relay for risk awareness initiatives sponsored by 2LoD.
• Alert and reporting: alert and escalate to the relevant level of management and independent control functions any operational risk incident and/or any recurring weakness.
• Committees: coordinate, support and advise in the validation process for exceptional transactions, new products/ activities, Operational Committee, Internal Control Committee, USD Clearing & Payments Executive Committee.
• Establish and drive team workplan, including regular follow up through KPIs/dashboard and performance dialogue.
• Identify skill gaps in the team, establish upskilling plan and increase multi-skill within the team across processes and métiers.
• Drive Continuous Improvement of practices: ensure best practices are shared and within the team and across the OPC community (e.g. utilization of standards for analysis and reporting).
• Coach team members to achieve team and personal development objectives.
• Set teams' objectives and perform mid-year and end of year appraisals.
• Ensure/Perform mandatory training monitoring for USDCP staff with breach prevention focus.

Inspector in charge of periodic controls, carrying out the function of internal audit and contributing to the protection of the activity and reputation of the BNP Paribas Group by ensuring the security and smooth operation of all processes. My main duties were:

• To analyze the processes within the audited environment and conduct interviews.
• To assess the operation and evaluate the risks while respecting well defined deadlines.
• To assess the organization in place and the auditees.
• To report my findings back to my management and to the audited entities; and to propose solutions aimed at mitigating the risks.

Assignments:

• 2019S3 - Fair value / Prudent Value (Market & Models). Location: London.
• 2020S1 - Volcker Rule. Location: London, New York and San Francisco.
• 2020S2 - Financial Security BDDF. Location: Paris.
• 2020S3 - BP2S France Local Settlement (Market & Models). Location: Paris.
• 2021S1 - IT costs EMEA (IT and Finance). Location: Paris.
• 2021S2 - Remediation (Market & Models). Location: Paris.
• 2021S3 - BP2S MFS Dealing Services. Location: Paris.
• 2022S1 - GDPR. Location: Paris.
• 2022S2 - Financial Security BP2S Luxembourg / Jersey / Greece / London. Location: Luxembourg and London.
• 2022S3 - Financial Security Nickel / CIB Milan / CIB Amsterdam. Location: Nantes and Milan.

Transaction Manager within Securitization and Structured Debt Solutions Luxembourg, in charge of a portfolio holding over a dozen transactions, mostly stand alones some programs. Acting on behalf of the Issuer, as a central and single point of contact, in the successful management of the SPV.

• Acting as Cash Manager, instructing multi-currency payments via signed instructions or manual online inputs. Track the movements and ensure, in a timely manner, the payment of interests and principal amounts due to our investors (currency cutoffs envolved).
• Validating the flows - Derivatives - SWAP (Currency, Equities, Interest Rates), unwinds, issuance, redemption, checking the eligibility of the intended collateral to be purchased (Collateral analysis via KYC team), fees, early redemptions, maturities - of series within a program.
• First line of contact with Front Office in regard of trades within the Strutured Products.
• Creation and Publication of Investor Reports via excel (controls, computation of formulas).
• Collaborating with legal teams when drafting the documentation (on the operational side) when onboarding new deals. Documentation analysis upon trigger events.
• Managing the communication channels between all counterparties (SWAPs, Rating Agencies, etc) and all internal teams.
• Periodic control of the SPV cash accounts to uphold the health of the transaction.
• Following through KYC procedures and updates in the life of the SPV by engaging our local teams and the Corporate Providers.
• Engaging traders and intern Risk team in correlation to our duties of analysis and agreement on any new given transaction within a program before presenting it for approval before a Business Acceptance Committee.
• Processing of the SPV invoices - check signatures, funds availability, inclusion in the Investor report, eligibility and post payment controls.

Create and compare reports of transactions from different data bases - Access and Excel based - for Vivendi. Report - in accordance with IFRS rules - the movements of Stock Options and Free Shares called by the company's employees on a given period of time.

Direct contact between BP2S and the shareholders for over two dozens Issuers. Account manager assisting on account updates, purchasing and selling of direct registered securities, OST, Derivatives - Options, dividends and general meetings and all other activities directly connected to registered securities (regular shares, employee savings plans, Stock Options, free shares, bonds, warrants and tax support). Support Human Resource's departments with the management of employee's account according to the French market regulation.