Profile, Qualifications and Key Competencies Andrée Gal
Business acumen
25+ years of sustainable success in the international arena as a business lawyer in advising shareholders, members of top management and of the board of directors, tax advisers and auditors. Tested in the structural balance of interests.
Industry experience
Long-term, comprehensive monitoring of both market leading owner-managed businesses as well as medium-sized public companies and publicly traded multinational corporations of various highly regulated industrial sectors (e.g. financial institutions such as a reinsurance and a venture capital company [sole external general legal/compliance counsel of 10 years], banks, industrial enterprises) and of different levels of maturity.
Functional expertise
Versatile track record among others in the areas of financial services regulation (banking, [re]insurance and capital markets law), international trade and business law in the broader sense, company law/corporate governance, accounting and audit law, competition law, litigation, environmental law, legal (risk) management and compliance, commercial.
Managed 100+ interdisciplinary M&A projects with the participation of up to 60 experts including listed companies (Legal 500: personally named 2012/2013).
Managed and advised on dozens of capital markets transactions (recognition by the SIX Swiss Exchange as representative to issuers).
Leadership/management
Leadership (line and project) experience as a team leader with up to 8/15 (30 on staffing projects) direct reports and partner, as the founder and owner of a law firm as well as a member of the Extended Leadership Team of the Swiss site of a global U.S.-American specialty chemicals group (listed on the N.Y.S.E.).
Gained a reputation as a trendsetting problem solver for the most difficult legal problem cases.
Thank you that I always could come to see you when a problem occurred.
7 years’ political experience at a local/cantonal level also in management functions.
Representation/network
Extensive experience in the design/implementation of target-group-oriented training, presentations and client events of all kind.
Establishment of two in-house counsel networks on leadership, corporate governance, legal (risk) management, compliance, corporate social responsibility (CSR) topics.
Professional Experience Andrée Gal
2014 – 2018
Axiom Global AG, Zurich: Team Lead, Subject Matter Expert, Axiom Ambassador:
Large Multinational Bank (March 2015 – January 2017):
Project 1: Subject Matter Expert in the Financial Crime Unit (September 2016 – January 2017)
Support Head of Global PEP (Politically Exposed Person) Desk
Support various projects and initiatives to improve existing controls around business relationship with PEPs (e.g. review of PEP Manual and intranet documentation/instructions etc.).
Support Global PEP Desk in maintaining integrity of PEP data within the framework of new regulatory requirements (e.g. update identification of Special Focus Clients [in view of risk scoring measures], Domestic PEPs and various Foreign PEP populations, evaluation and integration of feedback from various internal initiatives etc.).
Support Global PEP Desk in view of advice to Relationship Managers as well as to senior management regardingreporting, regulatory and audit requests relating to business relationships with PEPs.
Support Global PEP Desk in connection with assessments of PEPs.
Project 2: Team Lead of Confidential Internal Review Project (March 2015 – August 2016)
Team Lead of a highly diverse 30 person Axiom team
20+ nationalities, various legal backgrounds and different levels of experience, working on various work streams within a multi-professional services firm set up responsible for applying sophisticated review protocols to a large volume of documents.
Scope of review: Analysis of data and documents relating e.g. to the account opening as well as multilingual investigations of client files. Writing case reports to provide information in response of legal regulatory inquiries, to meet FATCA/Withholding Tax requirements, cross-border and KYC obligations and to compliance. Assess and correct first level review results and provide feedback to reviewers.
Duties and responsibilities: Manage all personnel questions, leading team meetings and ensure smooth changes and seamless transitions between various work streams, manage on- and offboardings both in terms of team integration and technical aspects, appoint and supervise further leadership team, staffing calculations and performance assessments, provider meetings with the client.
In parallel with the function as:
Team Lead of 15+ person mixed team from various services firms
Supervising reviews ensuring balance of quality and productivity, answering questions regarding the application of review protocols and the assessment of documents relating to financial services (products) and the background of related regulation.
Developing reviewers and proposals for appointment for special tasks and quality review functions.
Update briefings relating to review aspects and collecting feedback regarding new issues.
Managing many short-term changes of team composition, integrating and training of new team members, preparing and managing reorganisations of review structures/concepts/processes, ensuring team spirit and a productive work environment throughout many change situations and considering tight deadlines.
Axiom Ambassador
Central point of contact for all on site Axiom project team members.
Project 3: Short-Term Project in the Brokerage and Custody Department:
Consolidation of five standard contract forms relating to traded options and futures into one.
Axiom Subject Matter Expert (2016-2018):
(International) financial regulation, banking law, corporate law and transactions, compliance and legal risk management.
2013 – 2014
Interim Counsel/Various Projects:
Further development of two in-house counsel networks on leadership, corporate governance and legal (risk) management/compliance topics (founder, chairwoman, program, panel moderation etc.; approx. 350 associated colleagues):
Past event topics (for more information see “Events”):
“Diplomatic Challenges For Switzerland: What Kind Of Global Leadership Competencies Will Companies Need In The Future”
“Self Branding”
“Corporate Human Rights Compliance”
2012 – 2013
Eversheds Ltd., Zurich, Partner, Head In-house Counsel Consulting Switzerland:
Implementation of an in-house legal counsel service portfolio for the Swiss market (strategic consulting, legal [risk] management, compliance, records management, legal spend and matter management, outsourcing, e-learning, audits, assessments).
Founder of two in-house counsel networks on leadership, corporate governance and legal (risk) management/compliance topics (founder, chairwoman, program, panel moderation etc.; approx. 350 associated colleagues): Past event topics (for more information see “Events”):
“Activating teams and leading them to high performance”
“Compliance Investigations”
“Die Frau im Haifischbecken: Durchsetzungsstrategien für Frauen mit Biss!”
Participated in the event of the British Swiss Chamber of Commerce on the topic “Dealing with Corruption and Bribery Risks” (for more information see “Events”).
Complex mandates inter alia in corporate M&A (Legal 500) and financial market law (SIX Swiss Exchange-recognition as knowledgeable representative to issuers)
Representation of a General Counsel of a listed industrial group in connection with the sale of a business unit for 6+ weeks (project organization and launch of an international auction).
2010 – 2011
Intensive education inter alia at the Faculty of Business and Economics, University of Basel
Member of the Extended Site Leadership Team (legal area) at until the summer of 2009, with 1,350 employees, the largest European site of the global US-American specialty chemicals group.
2001 – 2007
Law Office Gal, Zurich:
Founder and owner of a business law firm: 10 years (starting at KPMG) of comprehensive, effective, cost-efficient monitoring of three companies as sole external general legal/compliance counsel: listed venture capital and industrial company as well as of a reinsurance company.
Practice Areas: Commercial and business law in an international context, corporate transactions including M&A, financial services law.
Developed new areas of activity in the fields of media and environmental law as well as litigation (including Law Against Unfair Competition, environmental law, international assistance in criminal matters including appeals to the Federal Supreme Court).
Project related collaboration with lawyers of different fields of law, tax advisors, auditors and other experts in an international context.
1995 – 2001
KPMG Legal, Zurich, most recently as Partner and First Vice President:
Main practice areas: Stock Exchange Act and Listing Rules:
Substantially contributed developing the area of capital market law including public takeovers and made acquisition of IPO mandates following the entry into force of the new Stock Exchange Act 1997.
Initial recognition of KPMG as knowledgeable representative to issuers by the SIX Swiss Exchange (change in practice).
Company law
Appointment of KPMG as advisor to the Task Force of the Commercial Registry Office Zurich following a conduct of a workshop for employees of various commercial registries.
Acquisition of large mandates without pre-existing relationships with KPMG and development of existing mandates as preferred supplier (e.g. comprehensive management of all legal matters of one of the largest listed Swiss department store groups).
Management of international, interdisciplinary major projects (corporate transactions of
all kinds incl. M&A, public takeovers, IPOs etc.)
Design of complex contract systems.
Accounting and audit law, auditor’s reports
International trademark law
Various customer-oriented publications
Memberships in Networks and Groups: International Focus Group IPO, Capital Markets
Network Switzerland, management of the Legal Due Diligence Zurich Desk, Hotline for Auditors.
Fields of Responsibility in Legal Commissions: Capital market, merger, spin-off, splitting-up, business combination law.
Lecturer at the in-house professional school for auditors.
Publications on commercial law issues.
1993 – 1995
Trainee at a small business oriented law firm:
Trainee in view of preparation for Bar exams. Admission to the courts of the Canton of Zurich after the minimum practice period of six months (venia).
Major practice areas: Labor law, rental law, inheritance law, public law, litigation.
1990 – 1993
University of Zurich, Research Assistent to Prof. Dr. R. Ogorek:
(during the public office as a Member of the Municipal Parliament of the City of Winterthur)
Chair of Roman Law, Comparative Private Law and Swiss Civil Law (with special focus on tort law including European product liability law).
Assisted in the preparation and implementation of courses and publications.
Assisted in the conduct of examinations including grading applications.
Advised students.
1981 – 1989
Credit Suisse, Zurich:
(prior and during the law studies)
Consultant to commercial customers in payment systems and transactions
Lecturer, training of commercial customer service consultants
Corporate planning.
Public Offices, Political Experience Andrée Gal
1990 – 1994
Member of the Municipal Parliament of the City of Winterthur
Legal counsel to the parliamentary party
Member of the standing parliamentary committee for the naturalization of foreigners (decision on the application for naturalization of foreigners, 4 years)
Member of the select parliamentary committee for the introduction and implementation of the “Ombudsman” (Parliamentary Commissioner) (drafting of the respective bill serving as basis for the field of activity of the Ombudsman and evaluation of a nomination to be introduced to Municipal Parliament, 1 1/2 years)
Member of the standing parliamentary committee for building and planning (preparation of all building and planning businesses of the Municipal Parliament, 2 years)
Vice-President of my party’s youth section, Winterthur (approx. 2 years)
Delegate to the cantonal party meetings, Winterthur (approx. 4 years)
Ms. Andrée Gal is an intelligent and a take charge politician.
Journalist in 'Der Landbote', a local newspaper
Professional Affiliations and Admissions, Education Andrée Gal
SIX Swiss Exchange-recognition as knowledgeable representative to issuers
Since 2001
(when working in inhouse counsel roles as passive member)
Member of the Swiss and Zurich Bar Associations, registerd with the Canton of Zurich attorneys’ register
2001 – Present (Summary)
Ongoing education and training in all areas of legal specialization as well as in the areas of leadership/management (ETH Zurich, 2013/2014; Lean Six Sigma Yellow Belt, SGO 2012; University of St. Gallen, 2009), business administration and economics (University of Basel, 2011)
2013 – 2014
ETH Swiss Federal Institute of Technology, Zurich, auditor:
Leadership II, International Management: Context and Management in East Asia (focus China) and India (Spring Term 2014)
Leadership I, International Management: Eastern Europe and Central Asia (Autumn Term 2013)
2012
Certificate SGO:
Lean Six Sigma Yellow Belt.
2011
Lectures at the Faculty of Business and Economics, University of Basel, auditor:
Financial Management, Strategic Management (Autumn Term 2011)
Regulating Pharmaceuticals and Medical Devices: Legal, Political and Economic Perspectives (Prof. Catherine Sharkey, New York University, incl. exam [extraordinary admission for this lecture], grade: 5.4 [best grade: 6]). (August 2001)
Corporate Restructuring(Prof. David Yermack, New York University, incl. exam [extraordinary admission for this lecture], grade: 5.2 [best grade: 6]). (July 2011)
Various lectures (Spring Term 2011):
Marketing
Organization and Human Resource Management
Applied Operational Accounting
Strategic Services Management
Advanced International Trade
European Integration and World Economic System
European Monetary Union and Monetary Policy
2009
University of St. Gallen / Executive Campus HSG:
Leadership with Energy and Focus: The new St. Gallen Leadership Model.
Overview about selected concepts re managers’ emotion, team leadership, management of organizational energy.
2000
LL.M. International Business Law, University of Zurich
(fields of specialization: banking, insurance and capital market law; magna cum laude)
1995
Admission to the Bar of the Canton of Zurich
1990
lic. iur. University of Zurich (magna cum laude)
1980
• Matura type B (incl. Latin), Gymnasium Rychenberg, Winterthur
