Squash, Judo
Sophie Sam
Head Of Reviews And Controls - Allianz SE Group Compliance
Frankfurt
Summary
Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.
Overview
16
16
years of professional experience
10
10
years of post-secondary education
4
4
Languages
Work History
Head of Reviews and Controls – Risk & Control Unit, Group Compliance
Allianz SE
10.2020 - Current
- Developing and executing a Global Functional Assessment framework for Compliance functions of Allianz Operating Entities
- Supporting the development and the roll-out of Non-Financial Risk Management (NFRM) methodology within Allianz Group (e.g. Definitions of the risk vectors, control objectives, inherent risks and testing strategy)
- Developing and monitoring the creation and the update of the Compliance Control Catalogue that can be mapped to Compliance control objectives to achieve Compliance-by-Design
- Supporting the development and the roll-out of the NFRM Governance & Controls Dashboard ( e.g. C-Chart User Manual)
- Developing and rolling-out Compliance Review methodology based on the S4 approach (Status, Scope, Skills and Standard)
- Defining and executing the annual Compliance Review Plan including Targeted Reviews and full Compliance Reviews
- Developing and rolling-out a self-assessment environment (CARE – Compliance Assurance of Risk and Effectiveness), allowing individual Operating Entity to self-assess their level of compliance maturity via the S4 approach
- Developing a compliance issue management framework, including completeness of issues, calibration, and monitoring of remediation.
Internal Audit Manager
Allianz Asset Management GmBH
09.2015 - 09.2020
- Led and managed European audit assignments at PIMCO and Allianz Global Investors
- Key audit topics included portfolio management, trading, investment operations, compliance, reporting obligations, risk management, distribution operations, sales & marketing
- Conducted consultative reviews to ensure compliance of new business activities and / or adherence with upcoming regulatory requirements
- Conducted the annual risk assessment leading to yearly risk-based audit planning
- Assisted the EU Regional Head with the development and the fulfillment of the annual risk-based audit plan.
Senior Consultant in Financial Services Industry
Deloitte
01.2011 - 08.2015
- Performed business analyses, impact assessment and feasibility studies
- Defined Target Operating Model: reorganization and optimization of Asset Management Group
- Defined governance & operational model for risk management and compliance functions
- Performed strategic analysis of EU wide and national policies and regulations (e.g., AIFM, UCITS, MiFID, etc.)
- Performed Gap analysis and Risk assessment.
Intern
AMF (Autorité des Marchés Financiers)
07.2009 - 12.2009
- Worked on assignment related to the adoption and implementation of UCITS IV
- Collaborated with CESR (Committee of European Securities Regulators) and the European Commission on UCITS depositary topic
- Worked on the impact assessment on level 1 measures of UCITS IV and its transposition.
Junior Engineer in R&D
Converteam GmbH
04.2008 - 08.2008
- Worked on conceptual analysis of a doubly fed induction machine fed by a cyclo-converter used in Goldisthal Hydroelectric Power Plant through simulations (Matlab/Simulink).
Education
Finance
ESCP EUROPE (European School of Management)
Paris And London 05.2008 - 05.2010
Master of Science - Electrical Engineering
ENSEM (Mechanical & Electrical Engineering School)
Nancy, France 05.2005 - 05.2008
Classe Préparatoire, Math Sup & Spé : Physics & Chemistry -
Lycée Clémenceau
Nantes, France 09.2002 - 05.2005
Scientific Baccalauréat - undefined
Lycée Blanche De Castille
09.1999 - 05.2002
Skills
Personal Information
Nationality: French
Interests
Traveling
Member of “Pour un sourire d'enfant,” a charity committed to Cambodian children
Timeline
Head of Reviews and Controls – Risk & Control Unit, Group Compliance
Allianz SE
10.2020 - Current
Internal Audit Manager
Allianz Asset Management GmBH
09.2015 - 09.2020
Senior Consultant in Financial Services Industry
Deloitte
01.2011 - 08.2015
Intern
AMF (Autorité des Marchés Financiers)
07.2009 - 12.2009
Finance
ESCP EUROPE (European School of Management)
05.2008 - 05.2010
Junior Engineer in R&D
Converteam GmbH
04.2008 - 08.2008
Master of Science - Electrical Engineering
ENSEM (Mechanical & Electrical Engineering School)
05.2005 - 05.2008
Classe Préparatoire, Math Sup & Spé : Physics & Chemistry -
Lycée Clémenceau
09.2002 - 05.2005
Scientific Baccalauréat - undefined
Lycée Blanche De Castille
09.1999 - 05.2002
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