advisory key__2016 12

WHO WE ARE1

Advisory Key is a consulting company specialized in Project Management, Business Analysis and

operations in the fund industry (FA, TA, Custody) and wealth management.

Advisory Key provides consulting services in Luxembourg and Paris

Advisory Key is committed to Win-Win Relationships!

Together with our team composed of high-calibers, we develop a culture of excellence and deliver

cost effective advice.

Our values are enthusiasm, dynamism, client satisfaction, long-term relationship

It’s about people

It’s about emotions

OFFER2

Combine Project Management and Operational consulting in the fund industry & wealthmanagement

•Business Change Management: enhance the existing processes and implement new products

•Review of procedures, Operating Memorandum, SLA.

•Optimize STP rate and implement new solutions

•Implement new funds and coordinate migrations (Alternative, Hedge Funds, Private Equity, RealEstate, Traditional)

•Coordinate accounting projects (Calypso).

•Coordinate regulatory projects such as AIFMD, UCITS V, MIFID II, Solvency II.

•Coordinate tax : RDR (Retail Distribution Review), FATCA, CRS.

•Planning and re-allocation of Human Resources.

•Compliance: monitor Investment Restrictions on legal and strategic investment limits.

ADVANTAGES3

• Flexibility, Availability, Reactivity

• Superior service at a fair price

• Win-Win and Long-Term relationship approach

• Expertise in Business Analysis and Project Management methodologies:

– Agile, Scrum

– Prince II – PMI - PMBOK

– Business Body Of Knowledge

•Deep knowledge of the operational process, financial instruments (OTC, Equity swap, CDS, IRS,

CFD, MBS, PIK bond, Swaptions, Futures, Options, Warrants, CDO, TCN, etc) and structures (pooling,

multi-managers)

•Expertise of the legal aspects related to fund investments

•Our Advisors have an entrepreneurial mindset, which enables them to deliver performance with

expertise, energy and diversity

GROWTH SINCE CREATION4

CLIENTS5

FOLLOW-UP6

CONSULTANTS

• On a weekly basis the management of Advisory Key has a phone call with each consultant to coach them and ensure the satisfaction is met but also delivered to the client.

• On a bi-monthly basis the management of Advisory Key :

–meets in face to face each consultant to coach them

–organizes a team event to share the experience of each consultant and communicate on Advisory Key’s life.

CLIENTS

• At least on a monthly basis, there is a phone call or a face to face meeting with the client manager of the consultant to ensure the satisfaction is still on the agenda.

Actions are taken to ensure satisfaction is met on both sides!

EXAMPLE OF ASSIGNMENTS7

SOME OF OUR ASSIGNMENTS IN BA (1)8

Damien

Business Analyst in Fund Services

With a 10 year professional experience in fund

industry, epecially in Trailer fees, Damien is currently

working in a project team dedicated to a complex

Transfer Agency migration in Luxembourg (550 ISINs

and €30 Billion of asset).

Damien is Business Analyst, 'Prince 2' certified, and his

strong background in IT enable him to be highly

competitive.

Project: Transfer Agency ConversionClient: Fund Service Provider, Luxembourg

Tasks:• Work stream leader for fund setup and data

migration topics.

• Liaising with client to understand funds

specificities, and analyzing technical

implementation with operational teams.

• Development of a VBA tool to prepare the

uploading of setups in TA core processing

application and surround technology.

• Creation of change request and impact analysis.

• Implementation of the Business Transition

Document dealing with responsibilities of each

participant in this TA conversion.

• Complete data mapping between the legacy TA

system and IFDSL TA system.

• Preparation of testing plan involving different

services

SOME OF OUR ASSIGNMENTS IN BA (2)9

Fayel

Senior Business Analyst in Fund Services

Fayel has 14 years of proven work exposure and

extensive experience in consulting with leaders and

decision-makers to improve business effectiveness

and engage employees.

His professional experience includes a sound

knowledge on Relationship Banking (Pricing, Billing,

Revenue leakage, Loyalty), Transaction Lifecycle

Management (Reconciliation, Cash and Liquidity

Management, Corporate Action, Reference Data,

Card system), Programming & Scripting Languages,

Database & Business Intelligence software.

During his international work experience he could

develop a proven track record of understanding

client requirements, achieving set goals within the

parameters of cost, time, quality and effective

resource utilization.

Fayel also possesses the ability to analyze market,

forecast, develop proposal, manage project.

Project: Client satisfaction enhancementClient: Major Fund Service Provider, France

Tasks:• Acts as the point of contact for escalated client

issues

• Coordination with clients, development team,

business team and provider team

• Gather demands from clients, and perform

analysis

• Create business specification document,

functional specification document, quote

creation, management of tests phases (technical

and functional)

• Work on a multitude of projects related to Asset

Servicing (Monitoring of quality control,

Management of IT issues / Reporting / Financial

Control)

• Participate to the NAV’s fund migration to India

(use cases, tests cases)

SOME OF OUR ASSIGNMENTS IN PM (1)10

Diana

Senior Project Manager

Diana is a Senior professional capable of working at

all levels within the business up to board level, an

excellent communicator, fluent in English, German,

French and Russian.

She has now been involved at senior level in 4 major

projects including the coordination of migration,

specifically related to the change of service provider

(outsourcing as well as insourcing).

She is extremely focused, with work ethic second to

none. She is used to and comfortable with client

interfacing roles (CRM).

She has more then 10 years of experience including

in American banks such as JPM & BNY but also in

French banks such as BPSS.

Project: RDRClient: Major Fund Service Provider, Luxembourg

The scope includes the identification of sources of

revenue leakage, review of the end to end

processes (from tariff templates to invoice

collection), developments to enhance transparency

of invoicing (invoice formats, invoice delivery

channels) and support the improvement of internal

processes by standardizing and automating. By this

means the organisation sought to implement a

scalable operating model deployable at a global

level.

The role consisted in program managing the various

streams cross-location, including communication to

stakeholders and reporting to the project

governance instances.


Alain

Program/project manager, program/project test manager

With 22 years of experience in the financial area,

Alain has developed expertise in the area of project

and test management.

Alain has worked in several European countries for

various well known financial institutions.

Alain has dealt with various domains in the financial

area such as CSD, ICSD, derivative, securities lending,

fund accounting, transfer agency, private banking,

European institution.

Project: TA MigrationClient: Major Fund Service Provider, Luxembourg

International program for Luxembourg, Ireland,

Belgium, Canada

BRD, FRD, test strategy definition, UAT preparation,

UAT execution, defect tracking

Coordinate and relieve information between IT and

business

Progress management of the workload effort to be

provided

Prepare steering committee, identify resource

needed

Organise training

In direct conjunction with the Head of TA

Global/worldwide.


Manuel


Manuel is a Senior professional that has 14 years

experience in the Finance industry. After having

spent the first 5 years of his career in Custody, he has

since then worked in the Funds Industry performing

Business Analysis and Project Management

assignments. As a French national having studied in

the USA, Manuel has a very good command of

spoken and written English and French. He is also

comfortable working in an Italian, Spanish, Indian

and even Chinese environment thanks to his

international work experience in Hong Kong.

Manuel has recently completed a major TA on-

boarding project resulting in additional annual

revenue exceeding €40 million for his client.

Manuel is extremely focused and possess an

excellent work ethic.

Project: TA Reporting EnhancementsClient: Major Fund Service Provider, Luxembourg

The scope includes managing the strategic

implementation of a single source of TA reporting

cross-locations and applications.

The objectives include the definition of a consistent

global TA reporting solution in coordination with the

different stakeholders, in line with the TA operating

model strategy and objectives, and compliant with

regulatory specifications of locations.

Single point of contact responsible for regular

communication to stakeholders and accurate

reporting to the project governance instances.


Savivahn


Savivanh is a Senior professional capable of working

at all levels within the business up to board level, an

excellent communicator, fluent in English, French .

She has now been involved at senior level in 4 major

projects including the coordination of migration,

specifically related to the change of service provider

(outsourcing ).

She is extremely focused, with work ethic second to

none. She is used to and comfortable with client

interfacing roles.

She has more then 20 years of experience including

in French Investment Manager such as ABN AMRO,

VEGA FINANCE, AVIVA FRANCE, State Street, AXA IM,

FourPoints IM, SGSS.

Project: Business Outsourcing Processus of Hub Reconciliation - Chennai (INDIA)Paris (France )Client: Major Fund Service Provider, Luxembourg

The scope includes the organization of several

sessions of training for new Indian staff to learn the

function of Reconciliation.

The role consisted in allocating the portfolios

adapted for the new Indian trainers. she

coordinates the progression of the training in respect

the objective of deadline.

She coordinates the different counterparties such as

IT team, Business Analyst team and Fund

Administration team.

She defines the workload : Resources and tasks in

this project.

She leads French and Offshore Business units.


Cédric

Project Manager in fund services

A multi skilled professional with 13+ years progressive

expertise in Fund industry especially in transfer

agency activity. Able to manage stakeholders

expectations and willing to take full responsibility for

the delivery of project objectives. Flexible and able

to adapt positively to any challenges that arise.

His competence set ranges from process analysis,

regulatory implementation and project management.

He started his career in the Luxembourg fund industry

by working in functional roles (Alliance Bernstein) prior

to covering consulting roles.

He also has participated in three migration project in

Transfer Agency with BPSS and IFDS.

Cédric studied different regulations

(AIFMD,UCITS,12/02) and has good knowledge of the

implementation process.

Project: Funds MigrationClient: Major Fund Service Provider, Luxembourg

Tasks:• Budget preparation and tracking of expenses

• Manage Projects’ scope, resource and schedule

• Ensure Gap analysis

• Definition of Target Operating Model

• Communicate project status (project meetings

and Steering Committees)

• Produce and maintain status reports,

presentations, risk and issue logs

• Support for architecture definition and

implementation


Gavin

Project Manager

Gavin is a senior professional with 14 years

experience within Transfer Agency Services

(MFTA)/Fund Administration. He is fluent (written and

spoken) in English, French and German.

Positions held:

- Project Manager (Business Operations)

- Workstream Co-ordinator

- Senior Business Analyst

- Business Change Management

- Operations – Customer Services, KYC/AML,

Registration, Dealing, Cash & Reconciliations

He worked on many business initiatives and major

projects, e.g. Client on-boarding and system

upgrade, UAT organization and implementation, STP

process definition and implementation, System and

Process migration, establishment of SLA’s and

Operating Memorandums. Budgetary experience of

project budget of over EUR 1 million.

Project: TA MigrationClient: Major Fund Service Provider, Luxembourg

The scope includes the migration of Transfer

Agency, Custody and Fund Accounting functions

from an existing to a new supplier. Engaged at the

Transfer Agency level the requirements include

transfer of client and fund data, development of

reporting needs including distribution flows,

implementation of new trading functionality,

generation and maintenance of all documentation

and Project Management of entire process.

The role consists of Project Managing various TA

Work-streams while liaising with Fund Accounting

and Custody functions, communication to all

stakeholders within the business, successful transfer

of all data including validation of AML/KYC

processes and procedures.


Stephane

Senior Project Manager Stephane is a senior professional with 12 years

permanent and contract experience within

Investment Funds Administration, Transfer Agency,

Custody, Securities services and Asset Management.

He has international and cross border experience

within all levels of business up to board level, within

client and supplier organisations.

Positions held:

- Project Manager

- Business Analyst

- Process reengineering

- Test Manager

- Provider relationship manager

Drive and delivery major projects on client side with a

pragmatic and proactive approach leading clients

to reach their strategic and operational objectives.

E.g. Process reengineering and setup of the follow-

the-sun model in the Fund industry

E.g. Successful implementation of new operational

platform as well as migration of users & clients to the

target model

Project: Front Office tool implementationClient: Asset Management company, Luxembourg

The scope includes the setup and the management

of the support team of the Front Office tool.

Organize and optimize ticket management for Front

Office and Middle Office.

Ensure follow-up of all topics concerning

Luxembourg Fund Managers

Support and train Middle Office team on the new

tool.

Migration of funds from legacy platform to new tool.

The role consist in project management and team

management.

SOME OF OUR ASSIGNMENTS IN BA & PM (1)17

Anne-Sophie

Senior Project Manager and Business Analyst in Fund Services

With a 15 year professional experience, Anne-Sophie

has developed expertise in the in the area of Project

management and Business Analysis.

An operational background in Transfer Agency gives

her the knowledge in operations to support, to

advice and to drive projects related to Fund

Administration.

Furthermore, in a context of more financial

regulations, she involved her self in different legal

projects such as EUSD, UCIT IV and FATCA.

As a Project Manager 'Prince 2 certified, she got

involved in different project phases, from project

initiation study to the delivery, including coordination

between stakeholders.

Her valuable experience in different financial

institutions as Business Analyst enables her to adapt

herself to various environments and to manage

different projects at the same time.

Project: FATCA implementationClient: Major Fund Service Provider, Luxembourg

• Identification of the FATCA impacts on TA cross

borders locations

Client identification

Tax Withholding

Reporting

• Coordination with local and global product for

determination of the new FATCA offer

• Coordination with System providers in order to

update application with FATCA requirements

• Process Optimization: responsible for TA stream for

the definition of the impacts .

• Coordination with operational teams .

• Cross disciplinary coordination


Cédic

Senior Project Manager and Business Analyst

Cédic has 12 years professional experience. Since

starting his consulting activities in January 2005, he

specialized in delivering consulting services for IS and

CRM departments. His competencies range from

process reengineering for IS support and advisory in

methodology for engineering teams to call centers

organization and CRM tools deployment, and project

management. Since 2008, Cédic applies the BABOK

methodology in his project. On top of that he is

currently passing CCBA - Certification of

Competency in Business Analysis. Cédic belong to

foundation team of the IIBA Luxembourg Chapter.

Cédic is currently implementing and managing the

AIFMD program requirements using BABOK

proposition.

Project: AIFMD Client: Major Fund Service Provider, Luxembourg

The scope includes the migration of Transfer

Agency, Custody and Fund Accounting functions

from an existing to a new supplier. Engaged at the

Transfer Agency level the requirements include

transfer of client and fund data, development of

reporting needs including distribution flows,

implementation of new trading functionality,

generation and maintenance of all documentation

and Project Management of entire process.

The role consists of Project Managing various TA

Work-streams while liaising with Fund Accounting

and Custody functions, communication to all

stakeholders within the business, successful transfer

of all data including validation of AML/KYC

processes and procedures.


Alexandre

Senior Business Analyst and Project Manager in transfer agency

Alexandre Stoecklin has over 10 years experience

gained as Business & Functional analyst as well as

project manager in the financial sector, such as:

Investment fund industry (Transfer Agent, Custody

bank, Bancassurance, ICSD Platform, and

Microfinance Institutions). He is used to work in a

multicultural / multilingual context; he is proactive

and rigorous, and demonstrated very strong

organisational and analysis skills.

Alexandre Stoecklin speaks English and French.

Project: Corporate actions management & AIFMD transfer agency reporting.Client: Major Fund Service Provider,

Luxembourg

Business Consultancy in the Transfer agency industry:

AIFMD transfer agency reporting, implementation of

a new application for the corporate actions

management

The role consists to :

• Analyse & elaborate the solutions in collaboration

with the operational team & IT team

• Lead the projects “Corporate actions system” &

“AIFMD Investors reporting”

• Project management and coordination of the IT

team for the setup of the new “Corporate

actions” application & AIFMD reporting

• IT & Functional testing of the new “Corporate

actions” application

• Support and Conduct user acceptance tests


Guy

Senior Business Analyst and Project Manager

Guy is a Senior professional with over 15 years

experience in the asset management industry. From

an operational background and with a move

towards IT orientated projects; he can easily

communicate with stakeholders of all fields and of all

levels to deliver the best solutions to a project's

requirements.

His profile as a BA and experience reflects his sound

overall understanding of the industry and the

connected nature of various departments

(FA/TA/Custody). Guy has worked in major banks

such as HSBC and JPM and has gained project

management experience in e-commerce with

Amazon.

He is Prince 2 Practioner certified and holds several

qualifications in Business Analysis.

Project: Client On-boarding (Fund Distribution Services)Client: Major Fund Service Provider,

Luxembourg

The scope of work includes both business analysis

and project management whilst working on several

on-boarding projects simultaneously.

The FDS department is gaining new Clients globally

as well as migrating in additional positions from

existing Clients.

Significant analysis is necessary to understand the

existing trading models and to define the future

operating model. Additional analysis also being

required due to the compliance requirements of the

jurisdictions in which the funds are domiciled.

These projects requires close coordination across

many operational teams in different locations and

different time-zones (LU, PL, UK, CH, SG & HK).


Prem

Senior Project Manager and Business Analyst in Asset Management and Transfer Agency

A most desirable Project Manager and more than a

wanted Business Analyst/Trouble-shooter.

With over 20+ year professional experience in the

Financial Sector coupled with a very strong technical

background, Prem has been the main architect

behind some of the most sophisticated banking

software applications today; including OTC

Derivatives, Compliance and Pricing Tools.

Today, Prem utilises his skills for on-boarding, data

migrations and is fully conversant with the

implementation of new legislations. EUSD, RDR,

FATCA, SEPA, KIID are but a few of the projects Prem

has been instrumental in realising.

Having worked with some of the leading Global

Finance players His invaluable experience and

dynamism creates a win-win situation for our clients

and our clients client.

Project: On Boarding Data MigrationClient: Major Fund Service Providers, Luxembourg

Reporting to the Steering Commitee for the

onborading of a major client.

As program manager the task included managing

budgets of multiple projects whilst keeping a close

eye on the impact of sister legislation projects. The

hiring and directing of business analysts and

developers for effective data migration.

Having direct contact with the customer for the

adaptation of new processes and procedures to

meet the customers requirements within the given

deadlines. Writing RFIs, RFPs & SLAs, creating liasions

with third party suppliers. Working on a global scale

meeting, assisting and guiding heads across multiple

locations.

Applying UML, KM, AGILE where required whilst

adhering to PRINCE2 methodologies. To ensure no

distruption to BAU and the seamless integration of

the customer into everyday business and business

continuity successfully.


Jean-François

SharePoint Solution ArchitectJean-François works as SharePoint Solution Architect

since 2007. His role usually consists of delivering IT

solutions around this technology: Custom Intranet,

Collaboration governance, Platform architecture,

Information Architecture, SharePoint Project

Guidance and Migrations. He is also developing his

Project Management skills through different roles,

projects and training. He is a great team player, he

has a proven ability of being able to rapidly adapt,

depending on project requirements and the

environment. He is successful in designing and

implementing solutions that meet business

requirements and enhance organizational

performance. He is also involved in the SPLUG

(SharePoint Luxembourg User Group) since where he

worked on different subject that he presented

publicly (O365 – Customization Capabilities – 2011 |

SharePoint 2010 – Claims based auth – 2012).

Project: Electronic document managementClient: Asset Management Company, Luxembourg

Responsible of maintaining/improving several

SharePoint based applications:

· Funds documents/events/tasks management

· Compliance documents/events/tasks

management

· Reporting application (allowing to generate

docx and xlsx docs from SharePoint from XML data

inputs)

Involved in the Migration Roadmap to the target

new SharePoint Group platform(s):

· Defining the requirements of the new

platform(s)

· Building migration strategy

· Technical documentation

· Recommendations and best practices

advices

SOME OF OUR CONSULTANTS TESTIFY22

Manon:

“Coming from an educational background as anEnglish teacher, I wanted to use my language skills inorder to challenge my professional life and developother skills.

Therefore, I decided to tackle the bankingenvironment and develop my knowledge in differentfields.

I now have a banking experience of about 15 years, 7years of which have been spent in client services forinvestment funds, custody and TA included.

This year, thanks to Mister Bruno Van de Vloet, I hadthe extraordinary chance to meet , I finally decided toenter the world of consultancy.

I am currently working in Bank Itaù where I ammigrating every type of funds from a custody side,and I have the chance to be in a very interactive andfriendly team.

This new step in my life with AK totally changed myvision of the banking environment, and I thank BrunoVan de Vloet to have given me this wonderful human

and professional opportunity.

His communicative approach, extremely positiveattitude and passion for work gives us all this taste forexcellence.

I am very proud to share my experience with all of you

and wish us all a long life with AK .”

Julien:

“ I have a accountancy background and 5 yearsexperience in fund accounting. The taste foradventure and the will to give a new beginning to mycareer brought me to new opportunities.

I initially wanted to pursue my career in Asia, but Ihave been contacted by AK for a new assignment asin the Consulting area.

The dynamic, enthusiast and ongoing personality ofMister Van de Vloet convinced me to join AK.

This opportunity allowed me to use my experienceand discover other sides of this activity such as humanresources management, client relationshipmanagement… I also had the chance to tackleactivities which are interrelated to FundAdministration, which greatly enlarged my skills. A partfrom the professional aspect, I had the chance to gothrough a wonderful human experience by meetingnew people.

It is a beautiful and satisfactory experience to

participate to the evolution of AK, hoping that it

continues for ever! ”

Sébastien:

“ Recruited in Paris to achieve a consulting mission inLuxembourg, I joined Advisory Key’s team ofconsultants on August 2011. The transition betweenFrance and Luxembourg was quick and happened ingood conditions.

A consultant already working at the client’s premiseswelcomed me and mentored me for my first steps atthe client’s. He took the time to explain in details theclient’s internal organisation and what the client wasexpecting from my performance. It clarified the vision Ihad from the different departments and of thefunctional internal organisation. It also facilitated andaccelerated my integration in the team I was going towork with.

On a monthly basis, Advisory Key consultantmeetings-events are organised by Bruno (AK’sfounder). This is the opportunity:

•to share experiences, to talk about difficulties we metand to help each other,

•to present commercial actions, viewpoints aboutpast actions, and solutions brought to clients, as wellas clients’ feedbacks about actions performed.

All consultants are encouraged to share their opinions,their ideas and their recommendations, whichdevelops teamwork and team spirit.

They allow us to maintain a dynamic approach of ourquality enhancement processes as well as to reinforce

our know-how and to ensure our clients are satisfied.”

PHILANTHROPY23

Nature

-offsets each consulting day by planting a tree in a forestry project since its creation

www.thetreehub.com

-encourages its staff to travel by train and bike.

Health

-provides donations to the Luxembourg Cancer foundation and the neurology

department of CHL www.cancer.lu /

-encourages the members of its network to adopt this same responsible behavior.

People

-supports Non-Profitable Organizations such as La Source and CDR. The objective of

these organizations is to train unemployed persons in order perform professional

insertion.www.lasource.be /

http://www.halledehan.be/orientation_professionnelle.html

Advisory Key also supports the foundation KRIIBSKRANK

KANNER Luxembourg which helps children with advanced serious illness.

http://www.fondatioun.lu/

As part of its corporate social responsibility, Advisory Key :

http://www.thetreehub.com/

http://www.cancer.lu/

CONTACTS24

For further information, please contact

Office : +352 26 45 99 85

[email protected]

www.advisorykey.com

Address : 169, rue de Beggen L-1221 Luxembourg

Chief Executive OfficerBruno Van de Vloet

advisory key__2016 12

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