Apostolos Kounoupis

Experience

• 

  HSBC

  Sept 1999 - Dec 2018

  Tasks/Achievements- Established and headed Middle Office area by designing and implementing key responsibilities and by recruiting and managing a team of three staff members.- Coordinated, for the business side, the high-profile regulatory projects, including directives MiFID II and it’s implementation for the UK regulated firms under Client Asset Sourcebook (CASS), UCITS 5, CRS/FATCA/country tax reporting and the new Anti-Money Laundering & Sanctions control standards adopted by HSBC Group. - Central point of reference for the preparation of the annual Client Money & Assets Reporting (CMAR) addressed to the Financial Conduct Authority (FCA) in UK. Close cooperation with the external auditors for the responses/evidences preparation of the FCA annual review. - Designed the automation of certain key operational controls such as external reconciliation process, account maintenance confirmation & customers’ statement of holdings, increasing accuracy and saving 1 FTE. - Oversight annual budget and monthly forecasting processes and performed MI analysis on the financial results. - Actively engaged with the business due diligence reviews, performed by the institutional customers, by responding to the questionnaires, preparing presentations and representing business to the due diligence process.- Coordinated, the operating part for the business related to the system facilitation of Greek dept restructuring event through Private Sector Involvement (PSI) which took place in March 2012. Show less Tasks/Achievements- Supervised a team of seven staff members by performing staff performance management, training needs analysis, pay review & coaching. - Supervised the operational support of the Depositary and Global Custody services, offered by the business, to Mutual Funds by ensuring efficient processing and customer satisfaction - Established, from scratch, the custody and settlement process mechanism of the foreign securities enabling the business to expand its product offering. - Designed the operational functionality of the custody system in order to support global custody service. Show less

  • Senior Finance, Risk & Control Manager

    Mar 2008 - Dec 2018

  • Depositary & Foreign Settlements Operations

    Sept 1999 - Feb 2008
• 

  HSBC

  Feb 2019 - Jul 2023

  Chief Control Officer & Deputy Head/ HSBC Securities Services

  Tasks/Achievements- Implement the Non-Financial Risk & Control framework, under the threelines of defence model adopted by the firm and maintain the respectivedata in the operational risk system.- Act as the main business point of contact for the regulators and auditors,facilitate their reviews and coordinate business responses i.e. SupervisoryAct, performed by HCMC, related to the institutions compliance whichoffer custody services to UCITS.- Supervise the annual review, performed by external auditors, on thesuitability of control design and operating effectiveness ISAE 3402.- Responsible for the submission of annual regulatory report on clientassets protection addressed to the French authorities - Autorité desmarchés financiers (AMF), the Foreign Account Tax Compliance Act(FATCA), Common Reporting Standards (CRS) and local tax relatedregulatory reporting.- Represent business in all regional country committees and workinggroups covering risk, regulatory, financial and tax reporting related topics.- Responsible for the execution of any regulatory & group projects. Show less

• 

  Pancreta Bank

  Aug 2023 - now

  Director, Custody Quality Control

  Key Responsibilities:• Design & Governance of Investment Products Support Services.• Operational Risk & Control Management for Custody, Treasury Back Office & Payment Services.• Third Party Due Diligence & Performance Review.• Regulatory & Internal/External Audit Reviews Support Management.