Regulatory Compliance Consulting Banking and Financial Services
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- 60438 Frankfurt am Main
- Weltweit
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- 02.11.2024
Kurzvorstellung
Qualifikationen
Projekt‐ & Berufserfahrung
11/2022 – 9/2023
Tätigkeitsbeschreibung
- Compliance Risk Assessment
- Asset Safekeeping
- Tied Agents
- Compliance Gap Analysis
- Policies and Procedures revision
- Preparation of Meetings (Management, 2LoD)
- Support for KPI/KRI Reporting
- PMO/Projectsupport
Bankwesen (allg.), Compliance management, Organisationsentwicklung, PMO, Projekt-Dokumentation
11/2022 – offen
Tätigkeitsbeschreibung
- Gap Analyse Capital Markets Compliance zu deutscher Regulatorik
- Erstellung Richtlinien und Prozesse
- Fachliche Beratung zu NPS; Produkt Governance
- Fachliche Beratung zu Auslagerungsthmen
- Erstellungen Compliance Risikoanalyse
- Erstellung European Compliance Control Framework
- Stakeholdermanagement
- Unterstützung bei Reporting an Management und Aufsichtsbehörde
- Nachverfolgung von Moniten
Compliance management
9/2022 – 2/2023
Tätigkeitsbeschreibung
- Zweitschriftenprüfung
- Compliance Risk Assessment
Bankwesen (allg.), Compliance management
8/2022 – 10/2022
Tätigkeitsbeschreibung
- Sanction Advisory
- AML Advisory
- AFC Support (Pythagoras)
- Preparation Reporting
- Software Update Support (Pythagoras)
Bankwesen (allg.), Compliance management
9/2020 – 7/2022
Tätigkeitsbeschreibung
Deputy Compliance Officer and Deputy MLRO
Leading the Central Compliance function for Germany, Austria, France, Spain, Netherlands, Italy.
Building the operating model as well as the yearly workplan for the Compliance function. Assuring compliance with the applicable legal inventory. Further assuring Policies and procedures as well as maintaining the compliance risk matrix and the compliance workbook.
Compliance management, Datenschutz, Jira, Wertpapiere
1/2020 – 9/2020
TätigkeitsbeschreibungSubject Matter Expert for assessment and re-organisation of the target operating model in compliance and AFC. Calculation of levers and comparison of benchmarks. Further closing of audit findings in KYC/AML by leveraging system and process improvements.
Eingesetzte QualifikationenBankwesen (allg.), Compliance management, Strategische Unternehmensplanung
8/2017 – 12/2019
TätigkeitsbeschreibungLead Business Analyst and CR Manager for a global AML project including cross border support in European regions. Further support in coordination for MiFID 2 implementation encouraging collaboration between Front-Back Office and Compliance.
Eingesetzte QualifikationenBankwesen (allg.), Compliance management, EMIR, Regulatory Affairs
1/2017 – 6/2017
TätigkeitsbeschreibungPMO Lead for a MiFID 2 Project. Planning resources, workstreams and preparation of presentations for key stakeholders.
Eingesetzte QualifikationenCompliance management, MIFID
11/2013 – 12/2016
TätigkeitsbeschreibungProject Managerin for a KYC/CDD project in Asia region (Hong Kong 13 Months). Lead Business Analyst and PMO for an EMIR Transaction Reporting (all asset classes).
Eingesetzte QualifikationenBankwesen (allg.), EMIR, Regulatory Affairs
10/2008 – 9/2013
TätigkeitsbeschreibungConsulting for Capital Markets & Accounting Advisory Services as well as audit support and IFRS advisor. Further supporting conduction of SEC registration and IPO support
Eingesetzte QualifikationenAuditor, Bankwesen (allg.), Börseneinführungsvorbereitung
Zertifikate
Quadriga Hochschule
Ausbildung
Berlin
Über mich
-Leading Teams up to 40 People including sub reports
-Conducting Trainings and Workshops
-Managing Stakeholders and Third Parties
-Managing Projects and Workstreams (Agile and Waterfall)
-Onside and Operational Work Experience in Start Up Compliance including AFC, AML, KYC (Retail) and Complaints
-Setting up and maintaining internal written frameworks (policies, procedures, work instructions), Setting up and performing risk assessments (MaRisk, AML)
-Setting up Procedures for conflicts of interest management
-Setting up procedures for compliance measures and controls
-Performing regulatory Gap Assessments
Recent Clients:
Industrial Bank Germany, Germany Heavy Broker, European Private Wealth Bank
Weitere Kenntnisse
Persönliche Daten
- Deutsch (Muttersprache)
- Englisch (Fließend)
- Spanisch (Grundkenntnisse)
- Französisch (Grundkenntnisse)
- Europäische Union
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