Laetitia Nezi
Audun-Le-Tiche
Profil professionnel
Senior Fund Services and Financial Operations professional with over 20 years of experience in the asset management and banking industry, with a strong focus on regulatory compliance, AML/KYC oversight, and operational risk control. Proven track record in ensuring regulatory adherence, strengthening control frameworks, and supporting compliance-driven processes across Transfer Agency, Depositary Banking, and Fund Operations. Experienced in managing complex projects, leading cross-functional teams, and improving operational efficiency while maintaining strict compliance with AML, KYC, and regulatory requirements. Recognized for strong analytical skills, stakeholder management, and the ability to bridge operations with compliance and regulatory expectations.
Vue d'ensemble
26
26
years of professional experience
Expérience
Senior Associate – Fund Servicing (Dealing Oversight)
J.P. Morgan
2023.11 - 2024.11
- Oversaw Transfer Agency dealing activities, ensuring compliance with internal controls, AML/KYC requirements, and regulatory standards
- Monitored trade processing and investor transactions to ensure accuracy, timeliness, and adherence to cut-off times and SLAs
- Acted as a control function between operations and management, identifying and escalating potential compliance or operational risks
- Supported handling of investor queries, including due diligence-related requests and transaction validations
- Collaborated with senior stakeholders to enhance service delivery quality and regulatory alignment
- Contributed to ad hoc projects involving process improvement and control reinforcement
Owner
OD1 Coaching Owner
2022.09 - 2023.11
- Founded and managed a coaching business supporting professionals with career development, CV writing, and interview preparation
- Provided guidance on positioning profiles within regulated environments such as banking and financial services
Client Service Manager – Depositary Bank
BNY Mellon
2022.01 - 2022.05
- Contributed to strengthening the depositary oversight framework, ensuring alignment with regulatory and compliance obligations
- Reviewed and monitored Real Estate and Private Equity transactions from a compliance and control perspective
- Supported implementation of regulatory controls and best practices across the depositary function
- Acted as first point of contact for clients on depositary and compliance-related matters
- Coordinated with auditors, counterparties, and service providers to ensure transparency and regulatory adherence
Product Lifecycle & Transfer Agency Oversight
Schroders Investment Management (Luxembourg)
2012.01 - 2020.01
- Managed complex fund lifecycle events (mergers, liquidations, restructurings) ensuring full regulatory and compliance alignment
- Led a team of 8, overseeing data quality, fund registration, and operational compliance
- Acted as key contact for data governance and regulatory reporting across international offices
- Improved data flows with third parties (Fundinfo, Kneip), strengthening data accuracy and compliance reporting
- Supported regulatory filings, fund documentation, and cross-border registration processes
- Delivered strategic projects with strong focus on risk mitigation and operational control
Transfer Agency – Dealing
Schroders Investment Management (Luxembourg)
2008.01 - 2011.12
- Processed and monitored investor transactions in compliance with AML/KYC and regulatory requirements
- Handled client queries related to transactions, ensuring proper validation and control checks
- Managed automated trade flows and resolved exceptions, minimizing operational and compliance risks
- Contributed to system enhancements supporting secure and compliant trade processing
Change Management & Product Support
Schroders Investment Management (Luxembourg)
2006.01 - 2008.01
- Coordinated fund launches and restructurings, ensuring regulatory readiness and compliance validation
- Led UAT testing phases to ensure systems met compliance and operational requirements
- Acted as liaison between business, IT, and stakeholders for regulatory-driven changes
TA Production Support Analyst
J.P. Morgan (Luxembourg)
2004.01 - 2006.01
- Provided operational support with focus on issue resolution, control improvements, and risk prevention
- Investigated root causes of operational issues and implemented corrective actions
- Worked with third parties to ensure secure data transfers and compliance with operational standards
- Participated in testing and implementation of systems supporting controlled processing environments
Registration Assistant
Schroders Investment Management (Luxembourg)
1999.01 - 2004.01
- Supported investor account opening processes, including documentation checks aligned with KYC requirements
- Assisted in maintaining accurate client records in line with regulatory expectations
Formation
BTS - Marketing & International Trade
Business & Management School
LuxembourgBaccalauréat STT - Business & Communication
Brevet des Collèges -
Compétences
- AML / KYC Oversight & Controls
- Regulatory Compliance & Risk Mitigation
- Transfer Agency & Fund Operations
- Depositary Bank Monitoring
- Operational Risk & Internal Controls
- Client Due Diligence & Investor Services
- Project & Change Management
- Data Quality & Reporting
- Stakeholder & Client Relationship Management
- Process Improvement & Automation
Languages
French
Courant
C2
Italian
Courant
C2
English
Courant
C2
German
Débutant
Chronologie
Senior Associate – Fund Servicing (Dealing Oversight)
J.P. Morgan
2023.11 - 2024.11
Owner
OD1 Coaching Owner
2022.09 - 2023.11
Client Service Manager – Depositary Bank
BNY Mellon
2022.01 - 2022.05
Product Lifecycle & Transfer Agency Oversight
Schroders Investment Management (Luxembourg)
2012.01 - 2020.01
Transfer Agency – Dealing
Schroders Investment Management (Luxembourg)
2008.01 - 2011.12
Change Management & Product Support
Schroders Investment Management (Luxembourg)
2006.01 - 2008.01
TA Production Support Analyst
J.P. Morgan (Luxembourg)
2004.01 - 2006.01
Registration Assistant
Schroders Investment Management (Luxembourg)
1999.01 - 2004.01
BTS - Marketing & International Trade
Business & Management School