Curriculum vitae roger coenen v2020

Curriculum Vitae
Roger Coenen (1966)
Mobile: +31 (0)6 42 600 245
Email: rc_consultancy@kpnmail.nl
Amsterdam area
The Netherlands
Willingness to relocate abroad
Compliance Expert |
Financial Regulation Specialist
Skill set:
 Broad experience in areas of banking, asset management and
pension funds
 Strong analytical and organizational capabilities combined with a
good drive for results and achieving deadlines
 Ability to work in a team and independently
 Strong communicative talents and the skills to unite various
stakeholders to reach stated goals
 Capability to work in back, middle and front office environments
 Experience in managing teams and projects
 Quick adaptation and comprehension of various regulations
 Good affinity with IT
Regulatory expertise on:
 AIFMD
 MiFID II
 SFTR
 EMIR (and EMIR Refit)
 Margin requirements
 CSDR
 AML
 Benchmark Regulation
 Regulatory reporting
 MAD & MAR
 GDPR
 SRD2
 Basel II & III (CRD & CRR)
 CDD
 PSD2
 Dodd-Frank
 IBOR transition
 Fintech | Blockchain
RC Consultancy Advisory & Training
(self-employed)
RC Consultancy
Advisory &
Training
Consultancy &
Advisory
Training &
Coaching

25-6-2020 2
WORK EXPERIENCE
Roles (mainly as independant consultant):
 Compliance advisor
 Business analyst
 Project manager
 Requirements analyst
 Operational risk manager
Projects:
 AIFMD
 MiFID II
 EMIR
 Brexit
 GDPR
 Margin requirements
 Central clearing
 MTF license
 Operational risk management
 Private Banker | Investment Advisor
Period: 04.1996 – 09.2002
 Compliance Expert Financial Regulation
Period: 10.2012 – present day
Roles:
 Managing Director
 Senior Private Banker
 Manager Investment Department
 Senior Investment Advisor
 Family Officer
Period: 09.2002 – 09.2011
Role: owner of Coenen Family Office, a multi-family office
Responsibilities:
 Independent financial advisor for top
athletes, entrepreneurs and high net
worth individuals
 Trainer | Coach | University Lecturer
Period: 02.1994 - 04.1996 & 09.2002 – present day
Role: training, coaching & lecturing in financial markets & productsPlease view annex for more detail
8 years
6.5 years
9 years
20 years

25-6-2020 3
EDUCATION
 M.Sc. Business Economics
Tilburg University (Tilburg, The Netherlands)
Master of Science in Business Economics
Specialisation: Finance (Avg. 7)
Thesis: Initial Public Offerings (granted with 8)
Period: 08.1990 – 08.1993
 Certified Financial Analyst (CFA)
IBO/Vrije Universiteit Amsterdam
CFA title (and granted Certified EFFAS Financial
Analyst) (Avg. 7)
Period: 09.1996 – 04.2001
 Claritas Investment Certificate
CFA Institute
Period: 08.2015 – 01.2016
 Various Certificates
Anti-Money Laundering, Compliance, Anti-bribery &
corruption, 3 LoD, Business Continuity Management,
Scrum Training, Requirements Analysis
SKILLS/IT QUALIFICATIONS
Topic Level of knowledge/experience
Salesforce Advanced
Office Applications: MS Office
(Excel, Word, Powerpoint)
Advanced
Financial applications:
Bankview (Allshare); BaNCS (TCS
cross-platform banking software);
SimCorp Dimension, Aladdin
(BlackRock) for investment
managers; Global Trade Repository
(GTR) OTC Lite reporting service
(DTCC)
Basic to medium
Cross-functional software:
Reconciliation (Intellimatch by
Sungard)
Basic to medium
Operating systems: Windows
and MacOS
Advanced

25-6-2020 4
LANGUAGES
 Professional cycling
 Cycling my road bike
 Fitness
 Football
 Reading (predominantly English and Scandinavian crime)
 Netflix (predominantly Scandinavian crime series)
Languages Level
Reading Writing Speaking Listening
Dutch (native language) Excellent Excellent Excellent Excellent
English Full business proficiency Full business proficiency Full business proficiency Full business proficiency
German Full business proficiency Full business proficiency Full business proficiency Full business proficiency
French Elementary proficiency Elementary proficiency Elementary proficiency Elementary proficiency
PERSONAL INTERESTS
 Deejaying
 Photography
 Cooking
 Spending time enjoying nature
 Holidays (Scandinavia, U.K., Ireland, Germany, Italy, U.S.A.)
 Spending and enjoying time with family and friends
 Gardening

The unknown known
What do you worry about, when you go to bed at night?
The failure of imagining what might happen in the world
There are four knowns:
- Known knowns
- Known unknowns
- Unknown unknowns
- Unknown knowns
DONALD RUMSFELD – FORMER U.S. SECRETARY OF DEFENCE

Annex
S P E C I F I C A T I O N O F :
• W O R K E X P E R I E N C E
• C E R T I F I C A T I O N S
• C O N F E R E N C E S A T T E N D E D
• A D D I T I O N A L A C T I V I T I E S
• P U B L I C A T I O N S | P R E S E N T A T I O N S | R O U N D T A B L E S
25-6-2020 6

Work Experience as Compliance Expert (1/6)
25-6-2020
Working experience as:
 Compliance advisor
 Business analyst
 Project manager
 Requirements analyst
 Operational risk manager
 Business developer
 Consultant | Advisor
 Trainer | Coach
MAIN AREA: FINANCIAL REGULATON
 AIFMD
Company: a.s.r. Vermogensbeheer (Utrecht)
Role: Business Risk Manager – Compliance
Period: 05.2019 – present
Responsibilities:
Main task: perform a sanity check on AIFMD for the
asset management business of Dutch insurer a.s.r.
 Perform requirements analysis and business analysis
 Perform gap analysis
 Advise and work on gap solutions
 Implement gap solutions together with the business owners
(policies, procedure descriptions, process implementations,
stress testing, risk management, liquidity management,
transparency, order execution, delegation, investor protection,
best execution)
 Topics:
Best execution/Remuneration/Risk management/Liquidity
management/Valuation/Delegation/Depositary/
Transparency/Leverage/Marketing to retail investors
 AIFMD
Company: APG Asset Management (Heerlen)
Role: Business Analyst – Compliance Advisor
Period: 02.2013 – 04.2013 (2 months)
Responsibilities:
 Performing business analysis and tailor-made advice
on achieving compliance with AIFMD
 Establishing applicability for client regarding AIFMD
 Performing a gap analysis
Result:
 Advise and gap analysis provided as requested
ComplianceExpertFinancialRegulation
PresentdayComplianceExpert10/2015SeniorConsultantFinancialRegulation10/2012
RCConsultancyAdvisory&Training(self-employed)MyletteGroup(permanentcontract)
7

25-6-2020
 MiFID II
Company: a.s.r. Vermogensbeheer (Utrecht)
Role: Business Risk Manager – Compliance
Period: 05.2019 – present
Responsibilities:
Main task: perform a sanity check on MiFID II for the
asset management business of Dutch insurer a.s.r.
 Perform requirements analysis and business analysis
 Perform gap analysis
 Advise and work on gap solutions
 Implement gap solutions together with the business owners
(policies, procedure descriptions, process implementations,
organizational requirements, reporting, transparency, best
execution, delegation, investor protection (product governance, KYC,
retail requirements, inducements, costs and charges)
 Topics: KYC/Delegation/Inducements/Product Governance/Best
execution
 MiFID II
Company: APG Asset Management (Amsterdam)
Role: Business Analyst | Work Stream Lead
Investor Protection
Period: 02.2017 – 01.2018 (11 months)
Responsibilities:
 InvolvedindraftingProjectInitiationDocument(PID)
 MemberofMiFIDIIProject Team
 Responsible as MiFID II work stream lead for topics: Client
information, Inducements, Client assets, Suitability, Product
governance, Product bundling, Investment advise
 Fromanalysisphaseupto andincludingimplementationandtestingin
thebusiness
 Adviseon businessdevelopment towardsclients on costs & charges
reporting,product governanceandcommunications
 WorkinginanAgile team
Result:
 Complianceachievedpermandatorydeadlineof3January2018
8

25-6-2020
 MiFID II
Role: Business Analyst
Companies:
1. KAS BANK (currently CACEIS) (Amsterdam)
Period: 06.2017 – 01.2018 (7 months)
2. SPF Beheer (Asset manager Dutch Railway Pension
Scheme) (Utrecht)
Period: 08.2016 – 01.2017 (5 months)
3. Blue Sky Group (BSG) (Amstelveen)
Period: 02.2016 – 08.2016 (6 months)
Responsibilities:
 Performing business analysis and impact and gap analysis
Results:
 Impact and gap analysis was the starting point for the
MiFID Projects
 For KAS BANK: sanity check on business analysis resulted
in compliance status on MiFID II
 Brexit
Company: Achmea Investment Management (Zeist)
Role: Project Manager | Business Analyst
Period: 10.2018 – 05.2019 (7 months)
Responsibilities:
Key principle at start of project: a no-deal Brexit
 Draft PID and plan of action
 Impact analysis
 Analysis of current ISDA derivatives contracts (legal impact)
 Adjusting current ISDA derivatives contracts to Brexit compliance
 Analyzing Brexit-readiness External managers via questionnaires
 Implement necessary changes into the business (legal, operational
and front office)
 Project management and perform analysis
 Supervise and advise on operational implementation (set up new
accounts, collateral, static data, test plans and testing MTF
connection)
Result:
Brexit proof status of Achmea Investment Management
was achieved
9

25-6-2020 10
MAIN AREA: FINANCIAL REGULATON  EMIR
Company: ABN AMRO Clearing Bank (AACB)
Period: 10.2014 – 04.2015 (6 months)
Responsibilities:
 Executing a lookback on compliance with EMIR
 Working on further improvement of EMIR trade reporting process
Results:
 Gaps with compliance established, analyzed and solved
 Further improvement of EMIR Trade reporting process achieved
 EMIR
Role: Compliance Advisor
Company: ABN AMRO Clearing Bank (AACB)
Period: 08.2013 – 04.2014 (8 months)
Responsibilities:
Compliance advisor and part of EMIRproject
Performing an analysis on mandatoryrisk mitigation techniques
Second line adviseon reporting obligations and segregation
requirements
Advisingon applying for CCP license for Holland Clearing House
(HCH)
Member of Dodd-Frank/EMIRExpert Committeecoordinating
compliance betweenABN AMRO Bankand AACB
Results:
Successful implementation of tradereporting obligation
Compliance achievedwith risk mitigation techniques and
segregationrequirements
Successful achievementof CCP license for HCH
 EMIR
Company: ING Investment Management (currently known as NNIP)
Period: 04.2014 – 10.2014 (6 months)
Responsibilities:
 Business analysis on requirements collateral and valuation reporting
 Working on further improvement of EMIR trade reporting process
 Testing reporting requirements (UAT), working closely with IT and Data
management (Data warehouse)
Results:
 Gaps with compliance established, analyzed and solved
 Further improvement of EMIR Trade reporting process achieved

25-6-2020 11
 EMIR
Role: Project Coordinator Central Clearing | Business Analyst
Companies:
1. Stichting Pensioenfonds Medisch Specialisten (SPMS) (Pension
Scheme for Medical Specialists) (Zeist)
Period: 09.2016 – 06.2017 (9 months)
2. DSM Pension Services (Heerlen)
Period: 06.2016 – 02.2017 (8 months)
Responsibilities:
 Actively involved in Project
 Drafting Project Initiation Document (PID)
 Maintaining project documentation
 Selecting and involving external legal firm
 Selecting clearing members (long-list to short-list, RfP drafting
and evaluating answers, making final choices with project
team)
 Negotiating with selected clearing members (in consultation with
external legal)
 Involved in operational and legal implementation and coordination
Result:
 Clients successfully brought to operational and legal readiness for
central clearing under EMIR
 EMIR
Companies:
1. SPF Beheer (Dutch Railway Pension Scheme’s Asset
Manager) (Utrecht)
Period: 11.2016 – 12.2016 (1 month)
2.Insinger de Beaufort (currently InsingerGilissen) (Amsterdam)
Period: 08.2015 – 10.2015 (2 months)
3.SPMS (Zeist)
Period: 04.2015 – 06.2015 (2 months)
4. DSM Pension Services (Heerlen)
Period: 04.2013 – 06.2013 (2 months)
Responsibilities:
 Adviseonmarginrequirementsfornon-centrallyclearedOTCderivatives
 Performingananalysisonthemarginrequirements
 Adviseonmandatoryclearingobligationforthepensionschemes
 Adviseonreportingobligationsandriskmitigationtechniquesrequirements
Results:
 Whitepaperdraftedfor theclientswithinstructionsforachievingcomplianceon
marginrequirementsandriskmitigationtechniques
 Adviseproducedonmandatoryclearingobligation

25-6-2020 12
 GDPR
Company: KAS BANK (currently CACEIS) (Amsterdam)
Period: 03.2018 – 06.2018 (3 months)
Responsibilities:
 Sanity checkonGeneral DataProtectionRegulation(GDPR)/AlgemeneVerordening
Gegevensbescherming(AVG)
 Performed a check on business analysis, approach, process, procedures and impact
analysis and a gap analysis concerning GDPR
Result:
 Sanity checkcontributedtoachievingcompliance ofKAS BANKperdeadlineof25May
2018
 Operational Risk Management
Company: Spoorwegpensioenfonds (SPF) (Dutch
Railway Pension Scheme (Utrecht)
Role: Risk Manager at the Executive Office (Bestuursbureau)
Period: 10.2015 – 07.2016 (9 months)
Responsibilities:
 Settingupriskmanagementfunctionat ExecutiveOffice
 AdvisingPensionFundBoardonriskmanagement
 MemberofRiskandAuditCommitteeaspartofPensionBoard
 Chairingworkingcommittees(Conflictsofinterest,ITandOutsourcing)
 MeetingandcommunicatingwithDutchregulatorsDNBandAFM
 Advisingoncompliance:EMIRcentralclearingandreporting& MiFIDII
 Riskassessmentonintendedmergerwithotherpensionfund(context
setting,identificationofpossiblerisks,assessingrisks,identifyingmitigating
measures)
Results:
 Riskmanagementfunctionwas setupandhandedoverto permanentrisk
manager
 PolicieswerecreatedandapprovedbyPensionBoard
 Createdandpresentedriskmanagementplanonintendedmerger
 MTF license
Company: Captin Equity Management Services (Amsterdam)
Period: 05.2016 – 01.2017 (8 months)
Responsibilities:
 ComplianceadvisoronapplyingforalicenseforaDutchMultilateralTradingFacility
(MTF),calledCaptinTradingPlatform
 Compliancecheckonrequirements,responsibleformeetingduty ofcare requirements
(zorgplicht),writingapplicablepolicies,meetingwithDutch regulatorAFM
 Allincooperationwiththeownersand externallegal
Result:
 MTFlicensewassuccessfully approvedand grantedbytheAFM,the Dutchregulator

25-6-2020 13
Work Experience as Private Banker |
Investment Advisor
 Private Banking
Company: Schretlen & Co (Maastricht branch)
Role: Managing Director | Senior Private Banker
Period: 05.2000 – 09.2002 (2.3 years)
Responsibilities:
Managing Directorof Maastrichtbranch
Schretlen& Co thenbeing the private bank of Rabobank
Managing a team of 9
Also actingas private banker, managingclients’ portfolios
Responsible for expansion of branch’sassets under management
Working closely withregional/localRabobankbranches
Company: CenE Bankiers (Utrecht)
Role: Senior Private Banker
Period: 09.1998 – 05.2000 (1.75 years)
Responsibilities:
Senior Private Banker | Asset manager for high net worth
individuals, congregations,foundations, top athletes and board
membersof ING Bank
 Investment Advise
Company: Robeco Group (Rotterdam)
Role: Investment Specialist Rabo Beleggings Advies (Rabobank
then owned 50% of Robeco)
Period: 11.1997 – 09.1998 (10 months)
Responsibilities:
 InvestmentSpecialistRaboBeleggingsAdvies(RaboInvestmentAdvise)
 WorkingasintermediarybetweenresearchinstituteIRISandlocalbranchesofRabobank
inexplaininginvestmentresearch
 Presentingonclienteventsfor localbranchesof Rabobank onseveralinvestment
managementandinvestmentclimatetopics
 Assistedinadvisingclientsof localbranchesRabobank
 RestructuredseverallocalbranchesofRabobankonspotregardingdutyof care,risk
managementandinvestmentknowledge
Company: ING Bank (Tilburg branch)
Role: Manager Investment Department | Senior Investment Advisor
Period: 04.1996 – 11.1997 (1.6 years)
Responsibilities:
 Investmentadvisorfor retailclientsandownersof smallandmedium-sizedfirms
 Askedto managethedepartmentafter6monthsonthejob
PrivateBanker|InvestmentAdvisor
09/2002PrivateBanker/ManagingDirector09/1998InvestmentAdvisor04/1996
CenEBankiers(Utrecht)INGBank(Tilburgbranch)
Schretlen&Co(Maastricht)RobecoGroup(Rotterdam)

25-6-2020 14
Work Experience as Trainer | Coach | Lecturer
 RC Consultancy Advisory & Training
Period: 02.2015 – present day (5 years plus)
Service:
Providing training & coachingin areasof financial markets& products
Enhancing knowledgeon subjects in financial markets& products
Tailor-madeprograms are offered
Targetgroup: middle and back office staff of financial instititions, pension fund BoardMembers
Level: fromsecondaryvocationaleducationplus to post-bachelor
Method:training providedboth in Dutch asin English
Examples of tailor-made programs:
 Class room guidance in self-study programInvestmentFoundationsProgrambyCFA
(recurrent2 groups annually for backand middleofficestaff of a Dutchasset manager)
 Multiple days programfor back and middle officestaff of Dutchbranchof a major
international asset servicinginstitution
 Theoryand workshopson Classic investment theoryfor a Dutchasset manager’ssustainable
bank (back,middle and front office)
 Mylette Academy
Company: Mylette Academy (Woerden)
Role: Managing Director | Product manager | Trainer
Period: 11.2007 – 10.2012 (5 years)
Responsibilities:
Business development
Productmanagement
Staff management
Sales
Relationship management
Training
Content development
Results:
Successfully startedtheAcademyand achievedgrowthand success in
thehighlycompetitivetraining industryin TheNetherlands,servicing
major asset managers,banks, marketmakersand asset servicing
companies
 Tilburg University
Period: 02.1994 – 04.1996 (2.2 years)
Responsibilities:
AssociateProfessor in Finance
Supported and guided students in writing their thesis
Lecturing in TreasuryManagementand Financial Analysis & Reporting

25-6-2020 15
CERTIFICATIONS
06.2020 Key regulatory & trading requirements for Eurex by FIA (Futures Industry Association) (1 day)
06.2019 Workshop Wwft (Wet ter voorkoming van witwassen en financieren van terrorisme) (Anti-money laundering and prevention
of terrorism financing) by Nederlands Compliance Instituut (1 day)
04.2014 –
06.2014
ABN AMRO e-learning:
• Anti-bribery & corruption training
• Compliance Basis
• Three Lines of Defence Basic Training
• Business Continuity Management
• Operational Risk Management and your role
09.2013 Agile Scrum Training by Prowareness (3-day training)
12.2012 Requirements analysis and management by ISES (3-day training)

25-6-2020 16
CONFERENCES ATTENDED
03.2020 Regulatory Compliance Forum by Compliance Solutions Strategies, London - attendee (1 day)
12.2019 Stockholm Trade & Transaction Reporting Event by Infoline - Chairman (1 day)
06.2019 Amsterdam Trade & Transaction Reporting Event by Infoline - Chairman (1 day)
03.2018 Trade & Transaction Reporting Summit: Regulatory updates on MiFIR, EMIR & SFTR, London, Infoline – attendee (2 days)
11.2016 MiFID II: Implementing the new regime, London, ISDA – attendee (1 day)
03.2016 MiFID II Transparency & Reporting Banks (MAD & MAR), London, Incisive Training – attendee (2 days)
11.2015 Markets in Financial Instruments Directive, Understanding MiFID II Implications, London, ISDA – attendee (1day)
05.2015 EMIR Compliance Update, London, ISDA – attendee (1 day)
09.2016 – present day Stichting Continuïteit AIRS - Chairman
The "Stichting Continuïteit AIRS" has set its goal to guard and oversee the continuity of the firm Asset Information & Registration Services
(AIRS). AIRS is a service provider with a portfolio management system for various wealth managers and family offices in The Netherlands.
Amongst client reporting, AIRS also provides duty of care (zorgplicht) checks on portfolios. And AIRS provides the data processing from the
custodian banks to its clients.
ADDITIONAL ACTIVITIES

25-6-2020 17
PUBLICATIONS | PRESENTATIONS | ROUNDTABLES
06.2018 GDPR and the buy side. The impact of GDPR on buy side trading - even if you are not in the European Union
(Presentation at the Institutional Traders Private Meeting in Nice, France, 15 June 2018)
05.2018 GDPR en de marketingactiviteiten (nieuwsbrieven) - White paper (in Dutch)
03.2018 GDPR/AVG. Wat is het en hoe bereikt men compliance? (Presentation held for a group of compliance and operational
managers, 27 March 2018)
03.2017 Round table EMIR/Collateral Management - hosted by Financial Investigator Magazine (in English) - role: participant
06.2016 MiFID 2, grote impact, ook met uitstel - article in Financial Investor Magazine (in Dutch)
06.2016 Mini roundtable: Nog niet alle pensioenfondsen goed voorbereid op Central clearing (in Financial Investor
Magazine) (in Dutch) - role: interviewee
06.2016 Round table MiFID 2 (hosted by Financial Investigator Magazine) (in English) - role: chairman
11.2013 JP Morgan Annual Dutch Forum in Amsterdam - panel member on "Costs of Regulation"
04.2013 Roundtable Collateral Management (hosted by Financial Investor Magazine) (In English) - role: participant
02.2013 EMIR - kostbare veiligheid voor pensioenfondsen - article in Financial Investigator Magazine (in Dutch)
06.2012 Presenting at seminar for Brazilian Association of Pension Funds (Abrapp) on "The importance of skills and knowledge for
Pension Fund Executives" (in English) - location: Amsterdam

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