David Roche

David Roche Passport: 24EE67444 Nationality: French Date of birth: 04/01/1979 Place of birth: Fort-de-France, France Gender: Male  Phone number: (-  Email address:-  Home: Ronda Ramon Otero Pedrayo, 12 - 4to, 2da, 08860 Castelldefels (Spain) ABOUT ME With over 15 years of experience in the Financial Industry, I am a results-driven Business Risk and Control expert committed to driving sustainable business transformation. Drawing on extensive expertise in COSO and ISO standards, I excel in leading risk culture initiatives, designing and implementing internal control frameworks, conducting risk and compliance maturity assessments, and chairing compliance and control committees. My mission is to empower executive leadership by fortifying governance frameworks, optimizing reporting mechanisms, and ensuring robust oversight of risks and operations - all to drive sustainable growth and secure longterm success. WORK EXPERIENCE Organisational transformation & ESG advisor - Conscious Enterprise Network Self-employed [ 15/09/2022 – Current ] City: Barcelona | Country: Spain • Advising and supporting businesses in embedding Environmental, Social, and Governance (ESG) principles, driving transformative change toward sustainable impact. • Authored a research paper, "Internal Control Function: A Key Driver for Performance, Sustainability, and Conscious Business Transformation," published on the Conscious Enterprises Network website, providing insights on the role of internal control in advancing organisational sustainability. • Led the design and development of the Business Transformation service line, establishing the new Chief Transformation Officer role to champion sustainable and conscious business practices. • Building and nurturing strategic partnerships and collaborations with industry leaders to expand high-impact Corporate Governance services, elevating organisational resilience and sustainability. • Participating in Good Governance Academy courses and mastermind forums, focusing on ESG, Corporate Governance and Culture, Global Internal Audit Standards, Internal Control, and Risk Management. • Nexus Academy Course on Humanitarian, Development, and Peace Responses to Crisis, enhancing advisory insights for organisational resilience. • Contributed to the Institute of Internal Auditors’ (IIA) proposed Global Internal Audit Standards, aligning with best practices to strengthen internal audit functions worldwide. Career break - Family relocation [ 01/09/2021 – 31/08/2022 ] City: Barcelona | Country: Spain • Accompanying my son into his next steps as a professional tennis athlete • Attending online class and completed the NED Accelerator Programme by NEDonBoard; • Attending and completed Advanced Enterprise Risk Management Masterclass Internal Control Officer European Investment Bank [ 01/09/2017 – 31/08/2021 ] City: Luxembourg | Country: Luxembourg • Supported and provided governance oversight to confirm HR policy update are effectively implemented by the relevant HR Division, with clear ownership and accountability. • Provided expert methodological support to Business Process Owners and Management Committee members, guiding control procedure development, sharing best practices, and delivering targeted training to staff and leadership. • Collaborated with Quality Manager and Process Designer to review and update the nomenclature for key processes, ensuring alignment with bank best practices. • Conducted regular meetings with Heads of Division and prepared quarterly and annual reports to Senior Management, addressing key risk areas and the status of Internal Audit agreed actions. Design and implementation of KRI reporting/escalation procedure. • Performed design and operational effectiveness testing of key control procedures, implementing strategic mitigation actions to enhance risk resilience. • Coordinated with second-line control functions to align compliance reviews and manage risk initiatives, fostering a cohesive control environment. • Oversaw the handling and reporting of operational risk events, incidents management and driving timely resolution and escalation. • Collaborated with the Bank’s Internal Control Function to prepare the Annual Internal Control Report, contributing to robust second-line defence practices. • Championed various risk culture initiatives, advised HR Leadership with actionable insights and strategic guidance on risk management and governance practices. Business Risk Manager - Assistant Vice President Credit Suisse Private Banking [ 16/02/2016 – 31/08/2017 ] City: Luxembourg | Country: Luxembourg • Spearheaded the development and maintenance of First Line of Defense Support (FLDS) reporting and metrics, establishing a structured approach to risk monitoring and control within Private Banking. • Conducted rigorous quantitative and qualitative assessments of risks inherent to Private Banking Front Office activities, with ongoing reporting to local and International Wealth Management (IWM) leadership. • Consolidated risk data and metrics from multiple affiliates, creating a holistic risk overview at the legal entity level for informed decision-making. • Delivered regular Key Risk Indicator (KRI) and Key Performance Indicator (KPI) reports to key stakeholders, including Market Leaders, Heads of Desks, and IWM management, spotlighting priority areas for enhancement. • Provided strategic FLDS activity summaries to senior and platform management, fostering transparency and continuous risk management improvement. • Oversaw complaint and incident response management, ensuring compliance with regulatory standards and prompt resolution. • Strengthened the FLDS control environment by supporting team members with control- related tasks, emphasising best practices in risk management. • Served as a risk advisor on the Account Opening Committee (AOC), offering comprehensive risk assessments and strategic recommendations to senior leaders. Internal Control, Risk & Compliance Senior Officer AG2R La Mondiale Europartner [ 01/09/2008 – 31/01/2016 ] City: Luxembourg | Country: Luxembourg • Chaired the Compliance and Control Committee, acting as Deputy Money Laundering Reporting Officer (MLRO), and ensured alignment of internal procedures with regulatory standards. • Provided strategic compliance advisory and support to Senior Management and staff, addressing regulatory, compliance, and internal control requirements. • Oversaw the execution of directives from the Commissariat aux Assurances (CAA) and the completion of internal audit recommendations. • Drafted and maintained comprehensive procedures, leading the development and continuous improvement of the procedure manual. • Authored the annual internal control report, delivering insights and updates to Senior Management and ManCo team. • Spearheaded the rollout and integration of an operational risk framework in collaboration with the Risk Directorate at Paris Headquarters. • Translated complex regulatory requirements into actionable operational processes and best practices. • Conducted Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) training programs, fostering a compliance-focused culture across the organisation. • Supported the management in designing and documenting crisis management, Business Continuity Planning (BCP), and Disaster Recovery Planning (DRP) processes to strengthen organisational resilience. Organisational Consultant iOrga Group & Predica [ 01/10/2004 – 31/07/2008 ] City: Paris/Lyon | Country: France • Supported the Head of Internal Control in implementing a robust Control Framework, enhancing organisational resilience and compliance. • Developed detailed flowcharts and risk maps, providing clear vision of risk landscapes and control processes. • Prepared comprehensive work papers to document procedures, actions, and conclusions, ensuring highquality audit trails. • Assisted the Financial Department with Oracle (GL, AP, AR) implementation, performing consistency checks to verify data quality, completeness, and accuracy within the new system • Contributed to change management initiatives, developing training materials and supporting the smooth transition to new processes. EDUCATION AND TRAINING Master Audit EM Strasbourg, Université Strasbourg III [ 01/09/2003 – 30/06/2004 ] City: Strasbourg | Country: France | Website: https://www.em-strasbourg.com/fr/etudiant/formations/masters/ m1-m2-finance-et-audit | Level in EQF: EQF level 7 Master Management Financier Burgundy School of Business [ 01/09/1999 – 30/06/2003 ] City: Dijon - Burgundy | Country: France | Website: https://www.bsb-education.com/en | Level in EQF: EQF level 7 2-year preparatory classes for business school Lycee Saliege [ 01/09/1997 – 30/06/1999 ] City: Balma - Toulouse | Country: France | Website: https://www.saliege.fr/les-formations/les-classespreparatoires-cpge/ LANGUAGE SKILLS Mother tongue(s): French Other language(s): English Spanish LISTENING C1 READING C1 WRITING C1 LISTENING B1 READING B1 WRITING B1 SPOKEN PRODUCTION C1 SPOKEN INTERACTION C1 SPOKEN PRODUCTION B1 SPOKEN INTERACTION B1 Levels: A1 and A2: Basic user; B1 and B2: Independent user; C1 and C2: Proficient user SKILLS Microsoft Office / Microsoft Word / Microsoft Excel / Microsoft Powerpoint / Outlook / Strong Interpersonal Skills / Good listener and communicator / Organizational and planning skills / Team-work oriented / Listening and empathy / Passionate Advocate for ESG (Environmental, Social & Governance) / Corporate Governance / Business Acumen / Critical thinking / Responsibility / Reliability / Written and Verbal skills / Risk Assessment & Risk Management / Team player / Analytical thinking - work and see strategically / Independence in work / show impartiality / Integrity / Multicultural and diverse teamwork / Interdisciplinary Collaboration / Audit and Internal Control / Independence and impartiality at work PUBLICATIONS [2003] Internal Control Function: A Key Driver for Performance, Sustainability, and Conscious Business Transformation Internal Control is a key function which contribute to the sustainable success of the organisation when positioned at the right place, with the appropriate reporting line and an alignment on the method with the other control functions (Internal Audit, Risk Management, Compliance) DRIVING LICENCE Driving Licence: B HOBBIES AND INTERESTS Sports Racket sports - Tennis, Padel, beach tennis - and volleyball I also like • Reading and writing • Discovering the world’s culture, people and cuisine • Caribbean and Mediterranean cuisine VOLUNTEERING [ 10/2024 – Current ] Barcelona Homeless Entrepreneurs ESG Task force • Share insights with team members about the practicality and functionality of ESG measures in the corporate sector to meet the 2030 SDGs targets, • Participate in the "Partnerships Pipeline" campaign aiming at contacting a list of enterprises identified as an ESG leader in Spain and explore possibilities of collaboration with Homeless Entrepreneurs • Provide recommendations to improve the financial report