SENIOR FINANCIAL & REGULATORY STRATEGIST | Expert in Compliance, Operational Risk & Controls | Transformative Leader in Banking...

3/2023 – 6/2023

✅ Established the Internal Control Management framework for BAU operations, ensuring robust risk oversight.
✅ Designed and implemented 1LoD control processes, conducting risk assessments and quality checks for Self-Identified Issues (SIIs).
✅ Produced risk management reports for senior leadership, providing insights on key risk and control strategies.
✅ Oversaw outsourcing processes, optimizing SLAs and implementing KPIs to enhance operational performance.
✅ Led the WARF (Working Across the Ring Fence) work stream, driving Risk & Control initiatives across organizational boundaries.

❗️ IN A NUTSHELL: Strengthened 1LoD controls, enhanced risk management strategies, and improved operational resilience.

Risikospezialist, Projektmanagement, Risikomanagement (Finan.)

7/2022 – 2/2023

✅ Led the annual BaFin Audit for Investment Banking, ensuring full compliance with the Securities Trading Act and managing audit deliverables for UBS.
✅ Conducted compliance controls and managed regulatory reporting processes specific to IB operations.
✅ Established and streamlined regulatory inquiry processes, ensuring timely and accurate responses for IB compliance matters.
✅ Assessed and resolved employee incidents and policy breaches, mitigating non-financial risks within IB.
✅ Oversaw IB-specific outsourcing and monitoring activities, ensuring alignment with compliance frameworks and regulatory expectations.

❗️ IN A NUTSHELL: Led critical IB audit processes, strengthened compliance controls, and mitigated regulatory risks within Investment Banking.

Compliance management, Meldewesen (Bank), Microsoft SharePoint Server, MIFID, Risikomanagement (Finan.)

5/2020 – 3/2021

✅ Managed KYC onboarding for major German clients and foreign subsidiaries, ensuring compliance with the 6th EU AML Directive.
✅ Conducted periodic KYC reviews, analyzing clients across risk spectrums and validating compliance with regulatory standards.
✅ Created detailed KYC profiles, translating complex group structures into org charts, identifying UBOs, and verifying legal identities.
✅ Handled product onboarding and offboarding, ensuring seamless integration and compliance alignment.
✅ Screened sanctions and embargo (S&E) lists, addressing potential matches and ensuring adherence to global compliance standards.

❗️ IN A NUTSHELL: Streamlined KYC processes, ensured AML compliance, and safeguarded regulatory adherence for high-profile clients.

Compliance management, Microsoft Office 365, Microsoft SharePoint Server, Risikomanagement (Finan.)

7/2019 – 6/2022

✅ Developed strategic consulting frameworks for entrepreneurs, optimizing operations through automation, customer targeting, and workflow efficiency.
✅ Created educational platforms and content, designing courses and masterclasses on financial literacy and emerging financial technologies like cryptocurrencies.
✅ Authored and implemented marketing systems, including automated workflows, sales funnels, and compelling materials aligned with market and client objectives.

❗️ IN A NUTSHELL: Combined strategic consulting, financial education, and automation expertise to deliver impactful solutions and client success.

Business to Business, Digital Marketing, Marketing, Texter, Vertrieb (allg.)

10/2017 – 4/2020

✅ Executed risk analysis and control assessments, producing detailed risk reports to support senior decision-making.
✅ Managed self-identified issues (SIIs), overseeing their lifecycle from identification to closure and ensuring timely resolution.
Validated audit findings, ensuring accuracy and compliance with regulatory standards.
✅ Developed operational risk training materials and presentations to enhance awareness and adherence across teams.
✅ Established the Conflict of Interest (CoI) framework, drafting policies and integrating them into COO Compliance functions.
✅ Designed the Records Management (RM) framework, authoring divisional policies aligned with sub-divisional requirements.

❗️ IN A NUTSHELL: Strengthened risk management frameworks, enhanced compliance functions, and delivered operational improvements through targeted policies and training.

Auditor, Compliance management, MIFID, Projektmanagement, Reporting, Risikoanalyse, Risikomanagement (Finan.)

4/2016 – 9/2017

✅ Managed sales operations for ergonomic chairs and workplace solutions tailored to individuals with disabilities.
✅ Developed and expanded the sales network, securing new partners, stakeholders, and customers.
✅ Analyzed customer preferences, crafting data-driven sales strategies to meet market demands.
✅ Represented the company at major trade fairs, successfully showcasing products and building brand presence.
✅ Pioneered online sales (B2C) and launched digital marketing initiatives, driving new revenue streams.

❗️ IN A NUTSHELL: Boosted sales growth and market presence by expanding networks, enhancing customer engagement, and driving digital innovation.

Kundendienst, Marketing, Projektmanagement - Office, Vertrieb (allg.)

2/2013 – 2/2016

✅ Managed the Sydney Centre, helping hundreds of individuals overcome debt through education, coaching, and live counseling.
✅ Built and led a team of debt counselors and financial trainers to deliver impactful services.
✅ Organized workshops on budgeting and personal finance, fostering financial literacy and accountability.
✅ Established a local trainer network, ensuring sustainable support for ongoing community needs.

❗️ IN A NUTSHELL: Delivered life-changing debt solutions while fostering financial literacy and community support systems.

Finanzierungsberatung, Marketing, Personalführung, Schulung / Coaching (allg.), Schulungskonzepte

11/2011 – 1/2013

✅ Managed fund controlling for six closed-end shipping funds valued at $100M+, ensuring transparency and performance optimization.
✅ Supervised financial operations, including accounting and financial statements, collaborating with auditors and investors.
✅ Conducted market research and analysis, driving informed investment and refinancing decisions.
✅ Restructured four funds, successfully securing refinancing to stabilize performance.
✅ Represented the company at Germany’s largest investment fair, strengthening market presence.

❗️ IN A NUTSHELL: Optimized fund performance, secured refinancing, and enhanced investor confidence for $100M+ in shipping assets.

Controlling, Investmentberatung, Kundendienst, Management (allg.), Projekt - Berichtswesen, Reporting, Vertrieb (allg.)

4/2011 – 10/2011

✅ Advised clients on financial decisions, including credit solutions and investment strategies.
✅ Supported branch operations as Deputy Manager, ensuring efficient day-to-day management and customer satisfaction.

❗️ IN A NUTSHELL: Provided expert financial guidance while supporting branch operations driving client success and operational efficiency.

Kundenberater, Bankwesen (allg.), Investmentberatung

4/2009 – 3/2011

✅ Conducted market research and analysis to inform fund strategies and establish expertise in ship investments.
✅ Delivered training sessions for sales partners, affiliates, and staff on market trends, regulatory changes, and technical developments.
✅ Designed fund concepts in collaboration with customers, tailoring solutions to market needs.
✅ Developed sales materials to support affiliates and drive investment growth.
✅ Collaborated on fund restructuring strategies, optimizing performance and market positioning.

❗️ IN A NUTSHELL: Drove fund performance through market expertise, training, and tailored investment strategies.

Kundenberater, Beteiligungen, Finanzierungskonzept, Investmentberatung, Sales Management

10/2007 – 3/2009

✅ Advised clients on closed-end funds, providing tailored investment strategies.
✅ Conducted market research and analysis to support data-driven advisory decisions.
✅ Resolved client complaints, ensuring satisfaction and trust in services.
✅ Developed and maintained an internal knowledge database, enhancing organizational efficiency.

❗️ IN A NUTSHELL: Delivered expert investment advice and improved operational efficiency through strategic insights and client support.

Kundenberater, Beteiligungen, Investmentberatung, Marktforschung / -analyse

1/2001 – 6/2005

✅ Advised clients on financial planning and banking services after completing dual studies as a certified bank clerk.
✅ Managed the service area of a branch, ensuring seamless operations and customer satisfaction.

❗️ IN A NUTSHELL: Provided personalized financial advice and managed branch services to enhance client experience and operational efficiency.

Kundenberater, Bankwesen (allg.)