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Vladimir Berezansky

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Vladimir Berezansky Vladimir Berezansky Mobile: +7 985 773 4176 Personal e-mail: [email protected] Career overview: Experienced international lawyer and compliance professional specialising in banking and financial regulatory compliance, due diligence, and corporate governance with extensive experience in EMEA jurisdictions – specifically, Russia / CIS, Baltic, Balkan and East European markets; Senior managerial roles (department head) for Swiss banks UBS, l’Union Bancaire Privée (UBP), UBS and VTB Capital (investment bank for Russia’s second largest banking group); Significant liaison experience with national financial institution regulators and self-regulatory organisations (SROs): banking, financial services, securities exchanges, capital markets, and AML / KYC / CFT; Professional accomplishments include launching and/or restructuring regulatory compliance and corporate governance infrastructures of several multinational holding companies, including: MDM Financial Group, a top- tier Russian bank; Linebrook Limited, a multinational industrial group (holding); and VTB Capital, a major Russian investment banking platform; Native English; fluent Russian; business proficient in French and German. Specific Expertise / Professional Specialisations: Interface (liaison) with major EMEA banking, financial markets and AML regulators, including: FCA (FSA), PRA (UK); BaFIN (Germany); FINMA (Switzerland); DNB (Netherlands); CySEC (Cyprus); RosFinMonitoring and Central Bank (Russia); ESMA; EUROPOL / INTERPOL; Russia referent for UBP to FINMA; provided regular updates, consultation on new Russian legislation & regulations; business intelligence on Russia / CIS / Baltics / CEE; Designed, launched and supervised ‘green field’ compliance infrastructure (global control room; comprehensive set of protocols & procedures for channelling public- and private-side information, etc.) for VTB Capital (Moscow), a full-service investment bank, under duress conditions of Arrow Review by (then) FSA of VTB Capital’s London operations; KYC enhanced due diligence on ‘difficult’ cases, including PEPs; AML-orientated reviews of questionable client account activity, including advice as to when discretionary SARs might be appropriate; Trade sanctions screening and analysis of ultimate beneficial owner (UBO) / interlocking ownership issues; Identifying red flags suggestive of abuse of off-shore vehicles, including specifically for structured off-shore Russian wealth (see: http://www.kaltura.com/tiny/xk0jx); Analysis and consultation on banking and financial services innovations / technological (fintech, regtech, blockchain technology, bots / AI) and change management; Advise clients on new and anticipated changes to FCA and other new / recently amended regulatory regimes; e.g., MiFID II, EU AML4 Directive; GDPR; Basel II & III; SMR & Certification Regime; BEPS & CRS (OECD taxpayer disclosure initiatives), including necessary revisions to internal protocols and procedures and training modules. Professional Qualifications & Affiliations: Washington, D.C. Bar Association (professional licence to practice law), USA FSFM 1.0 (Broker-Dealer) Certification, Russia Work Experience: 2016 – 2017: Thought Leader, Compliance Practice (Director, Assurance) EY LLP London, UK Scope of financial regulatory Compliance thought leadership remit expanded from Russia/CIS to entire EMEA territory 1 2013 – 2015: Leader, Compliance Practice (Director, Assurance) EY (Ernst & Young) CIS B.V. Moscow, Russia Broad spectrum of Compliance consulting support focused primarily on Russian / CIS, Baltic and Eastern European financial institutions adapting to extraterritorial (UK / US / EU) regulatory regimes and implementing global best practice standards. 2011 – 2013: Head of Legal and Compliance, Russia/CIS UBS Bank Moscow, Russia Supervise in-house Legal and Compliance functions for the full range of UBS Bank’s Russian operations – including Investment Banking, Research, Equities & FICC trade platforms, corporate & retail banking, and wealth management / private banking activities. Effectuate merger of Internal Control & Compliance departments. Manage UBS Bank’s relationships with Russian banking & financial regulators and SROs. Design, launch and maintain UBS Moscow’s compliance infrastructure for implementing newly enacted Russian Law on Insider Information & Market Manipulation. Ensure overall adherence to applicable UK and Swiss banking & financial compliance standards. Develop policies and procedures for implementing newly enacted Dodd-Frank requirements for registering OTC derivatives (swaps) dealers (Title VII), and for Volcker Rule restrictions on proprietary trading (Title VI). Develop policies and procedures in preparation for FATCA registration as participating foreign financial institution (PFFI). Full compliance support for largest M&A transaction in Russia for 2012. 2009 – 2011: Head of Compliance VTB Capital Moscow, Russia Create and implement (start-up circumstances) robust Compliance regime consistent with Russian legal/regulatory requirements and internationally recognised best practices. Integrate Moscow Compliance practices with those of VTB Capital's FSA-registered UK entity (and other market jurisdictions worldwide). Supervise launch of Moscow compliance control room from inception to implementation and operational monitoring. Liaison with VTB Capital London Legal & Compliance functions during FSA Arrow Reviews and other regulatory enquiries. Build and manage Moscow’s Compliance team. 2007 – 2009: Head of Compliance for Russia / CIS and Eastern Europe L’Union Bancaire Privée (UBP) Geneva, Switzerland Account-opening, monitoring and transactional due diligence for UBP’s significant Russia / CIS & Eastern European clientele, including structural (legal and compliance) analysis of on- and off-shore structures, family offices, funds flows, and intra-group price transfer mechanisms. Develop internal policies and procedures to apply Swiss Agreement on Due Diligence (CDB) and FINMA Anti- Money Laundering Ordinance (AMLO-FINMA) to Russia/CIS private banking and wealth management operations at UBP’s subsidiary Russian limited liability company. Legal and administrative support for registration of UBP’s Russian limited liability company and Moscow office operations, including legal and compliance support. June – December 2006: International Compliance Officer, Aton Capital Group Moscow, Russia Comprehensive implementation & support for modifications to Aton’s compliance policies and practices, incorporating applicable legal/regulatory regimes of the Russian Federation (FSFM), Cyprus (CySEC), United Kingdom (FSA), German Federal Republic (BaFIN) and the United States (SEC/NASD). 2 Conduct formal, regulatory-mandated internal audits of Aton’s New York, London and Moscow offices in tandem with Internal Audit Committee. June 2005 – May 2006: Chief Compliance Officer, Linebrook, Limited Nicosia, Cyprus Establish and maintain internal compliance policies and practices for vertically integrated industrial holding / managerial company. Integrate corporate governance infrastructure implementing internationally recognised best practices, and ensure overall compliance with relevant jurisdictions including Cyprus, EU, UK, Russia and USA, and industry self- regulators. Register in-house trading platform with CySEC. Design & implement internal compliance infrastructure (policies & procedures) for securities trading (corporate portfolio). May 2004 – April 2005 Deputy Managing Director, Moscow Office The PBN Company, Moscow, Russia Corporate consulting to multinationals entering and/or operating in Russia/C.I.S. and emerging (second and third tier) regional corporates on issues including corporate governance, due diligence, financial institution regulatory compliance, mergers & acquisitions and corporate finance (capital markets). March 2002 – March 2004 Director, International Legal & Compliance MDM Financial Group, Moscow, Russia Senior in-house legal and compliance officer for a major Russian bank. Creation and implementation of comprehensive (Russian and international) compliance regime – policies and practices – consistent with post- 09/11 changes to US, UK and EU regulations. Represent Russian banking sector at Financial Institutions Compliance Benchmark Group (FICBG), pan-European self-regulatory organisation. Organise and host visiting FATF delegation, pending removal of Russia from FATF ‘Black List’ of Non- Cooperative Countries and Territories. Legal issues include: foreign (non-Russian) multiple trade agreements (ISDA, ISMA, SWAPs); legal restructuring of MDM’s cross-border group structure; integration of Russian and international compliance standards & practices. Education: Lecturer in international and American law – graduate coursework in Russian law, Far Eastern State University (FESU), Vladivostok, Russia Juris Doctorate, Washington College of Law, American University, Washington, D.C., U.S.A. B.A. in Linguistics, Columbia College, Columbia University, New York, New York, U.S.A. Personal: Citizenship: USA; Countries of Residence: Russian Federation & United Kingdom (co-located) Numerous articles and frequent speaking engagements on topics including financial regulatory compliance in emerging market circumstances and recent technological developments in the banking and finance sectors. 3 .
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