SENIOR FINANCIAL & REGULATORY STRATEGIST | Expert in Compliance, Operational Risk & Controls | Transformative Leader in Banking...
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- 63739 Aschaffenburg
- Weltweit
- de | en
- 13.08.2024
Kurzvorstellung
Qualifikationen
Projekt‐ & Berufserfahrung
6/2024 – offen
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES:
▪️ Currently analyzing and redesigning the customer risk scoring model in the Smaragd-CRS application, ensuring alignment with current regulatory requirements and DekaBank's business model.
▪️ Documenting current configurations and data used in Smaragd-CRS, providing a detailed analysis of the existing scoring model.
▪️ Developing a new customer risk scoring model, utilizing standard application functions and collaborating closely with the software manufacturer.
▪️ Simulating the impact of model changes on the risk assessment of existing customers, including a comprehensive evaluation of risks both at the aggregate and individual customer levels.
▪️ Authoring documentation on analysis results, conceptualizing the new model, and justifying the parameters and data used.
▪️ Maintaining a focus on compliance with WPHG, AML, and anti-financial crime standards, ensuring thorough and clear communication of performance requirements to DekaBank.
Compliance management, Datenmodelierung, Kundenanalyse, Projektmanagement - Konzeption / Vorgehensmodell, Projektmanagement (IT), Risikoanalyse
1/2024 – 3/2024
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES:
▪️ Led a comprehensive MS Teams training module, focusing on communication essentials and collaboration features like file sharing and project management.
▪️ Provided in-depth instruction on optimizing teamwork through MS Teams, emphasizing app integration and efficient workflow management for remote collaboration.
▪️ Developed and delivered interactive training sessions, ensuring participants gained practical skills in utilizing MS Teams for enhanced productivity.
▪️ Created user-friendly training materials and guides to support ongoing learning and effective use of MS Teams in daily operations.
MS Office (Anwenderkenntnisse), Projektleitung / Teamleitung (IT), Schulung / Coaching (allg.)
7/2023 – 5/2024
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES:
▪️ Appointed as Subject Matter Expert (SME) to support the Head of Compliance during the maternity leave of the GWM Compliance Germany Head
▪️ Coordinated the Idiosyncratic Non-Financial Risk Assessment (INFRA) across Compliance-responsible Risk Taxonomies
▪️ Performed the INFRA for the taxonomies of Suitability, Product and Service Lifecycles, and Market Conduct
▪️ Conducted a Deep Dive into the Compliance Marketing Material Review Process
▪️ Defined KPCis and authored procedures for the Employee Conduct Incident Framework
▪️ Resolved Non-Financial Risk Issues (Employe Conduct Incident Handling)
▪️ Reviewed marketing materials for compliance adherence
▪️ Published Compliance-centric newsletters
▪️ Responded to regulatory authority questionnaires
▪️ Performed Compliance Controls to ensure regulatory compliance and risk mitigation
▪️ Created Management Reports on key compliance areas, such as Employee Conduct
▪️ Drafted the Credit Suisse Integration Plan for Central Compliance and Compliance GWM, outlining strategic approaches for seamless integration
Compliance management, Projektmanagement, Risikomanagement (Finan.)
3/2023 – 6/2023
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES:
▪️ Established the Internal Control Management role for BAU operations
▪️ Designed and executed 1LoD control processes
▪️ Led risk assessments and quality checks for Self-Identified Issues (SIIs)
▪️ Produced Risk Management reports for senior leadership
▪️ Advised departments on risk and control strategies
▪️ Oversaw outsourcing processes, adjusted SLAs, and implemented KPIs
▪️ Work stream lead for WARF (Working Across the Ring Fence) for Risk & Control
Projektmanagement, Risikomanagement (Finan.)
7/2022 – 2/2023
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES:
▪️ Consulting on the annual BaFin Audit (Securities Trading Act)
▪️ Conducted regular compliance controls
▪️ Managed regulatory reporting
▪️ Established processes for regulatory inquiries
▪️ Assessed and addressed employee incidents and policy breaches
▪️ Oversaw outsourcing and monitoring activities
▪️ Provided guidance on ad hoc inquiries related to Investment Banking (IB) Compliance
Compliance management, Meldewesen (Bank), Microsoft SharePoint Server, MIFID, Risikomanagement (Finan.)
5/2020 – 3/2021
Tätigkeitsbeschreibung
FUNCTIONS / RESPONSIBILITIES
▪️ Managed KYC onboarding for major German clients and their foreign subsidiaries
▪️ Conducted periodic KYC reviews for clients across risk spectrums, aligning with the 6th EU AML Directive
▪️ Created KYC profiles by translating intricate group structures into org charts, verifying legal identities, identifying UBOs, and validating client data
▪️ Handled product onboarding and offboarding processes
▪️ Reviewed and addressed potential matches during screenings
▪️ Screened sanctions and embargo (S&E) lists for compliance
Compliance management, Microsoft Office 365, Microsoft SharePoint Server, Risikomanagement (Finan.)
7/2019 – 6/2022
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Provided comprehensive marketing consultancy for entrepreneurs and small businesses
▪️ Integrated web3.0 into client marketing strategies
▪️ Implemented sales automation processes to enhance efficiency
▪️ Advised on ideal customer targeting and offer formulation
▪️ Designed and developed sales funnels to optimise conversions
▪️ Crafted compelling copy for various marketing materials
▪️ Developed automated webinars for client engagement
Blockchain (allg.), Business to Business, Marketing, Digital Marketing, Texter, Vertrieb (allg.)
10/2017 – 4/2020
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Managed and executed risk analysis and risk & control assessments
▪️ Produced regular risk reports
▪️ Managed the lifecycle of self-identified issues from opening to closure
▪️ Validated audit findings to ensure accuracy
▪️ Developed presentations and training materials for Operational Risk
▪️ Established the Conflict of Interest (CoI) framework, authored the policy, and integrated it within COO Compliance functions
▪️ Designed the divisional framework for Records Management (RM) in line with sub-divisional needs and penned the corresponding policy
▪️ Served as Deputy Risk Type Controller
Auditor, Compliance management, MIFID, Projektmanagement, Reporting, Risikoanalyse, Risikomanagement (Finan.)
4/2016 – 9/2017
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Managed sales for a company specializing in ergonomic chairs and workplace solutions for individuals with disabilities
▪️ Developed and maintained the sales network, acquiring new partners, stakeholders, and customers
▪️ Analyzed customer preferences to guide sales strategies
▪️ Successfully represented the company at major trade fairs
▪️ Pioneered online sales (B2C) and digital marketing initiatives for the company
Kundendienst, Marketing, Projektmanagement - Office, Vertrieb (allg.)
2/2013 – 2/2016
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Managed the Sydney Centre for an international charity, aiding over 10,000 individuals annually to overcome debt through education, coaching, and live counselling
▪️ Built and led a dedicated team of debt counsellors and financial trainers
▪️ Organized budgeting classes and accountability sessions on personal finance
▪️ Conducted multiple classes, engaging dozens of participants
▪️ Established and spearheaded a network of debt counsellors and financial trainers
Finanzierungsberatung, Marketing, Personalführung, Schulung / Coaching (allg.), Schulungskonzepte
11/2011 – 1/2013
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Managed fund controlling for six closed-end shipping funds invested in container feeder ships
▪️ Conducted regular market research and analysis to inform investment decisions
▪️ Successfully restructured four out of the six funds via refinancing initiatives
▪️ Represented the company at the largest investment fair in Germany
▪️ Supervised fund performance, accounting, and financial statements, collaborating with fund administrators, auditors, and investors to ensure transparent financial assessments
Controlling, Investmentberatung, Kundendienst, Management (allg.), Projekt - Berichtswesen, Reporting, Vertrieb (allg.)
4/2011 – 10/2011
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Served as Deputy Branch Manager, assisting in branch operations and management
▪️ Offered expert advice to Degussa Bank clients on financial decisions, including credits and investments
Bankwesen (allg.), Investmentberatung, Kundendienst
4/2009 – 3/2011
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Conducted market research and analysis of the shipping sector
▪️ Established myself as a Subject Matter Expert in ship investments
▪️ Monitored the shipping market and producing competitive analyses
▪️ Engaged daily with customers, shaping fund concepts and designs
▪️ Delivered regular training sessions for sales partners and affiliates on market trends and developments
▪️ Developed sales materials to support affiliates and distribution partners
▪️ Collaborated on strategies to restructure multiple shipping funds
▪️ Responsible for training the in-house staff on current market developments (e.g. regulatory changes, freight prices, economic changes, technical developments)
Beteiligungen, Finanzierungskonzept, Investmentberatung, Kundendienst, Sales Management
10/2007 – 3/2009
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ Advised clients on closed-end funds
▪️ Conducted market research and analysis to inform advisory decisions
▪️ Managed and resolved client complaints effectively
▪️ Spearheaded the development and maintenance of an internal knowledge database
Beteiligungen, Investmentberatung, Kundendienst, Marktforschung / -analyse
1/2001 – 6/2005
Tätigkeitsbeschreibung
MY FUNCTIONS / RESPONSIBILITIES
▪️ After successful graduation as a bank clerk (dual studies) working as a teller and financial planner, advising clients of the bank
▪️ Assumed full responsibility for the service area of one of the bank's branches
Bankwesen (allg.), Kundendienst
Zertifikate
Mindvalley Inc
Ausbildung
Sydney
Kreissparkasse Ludwigsburg
Über mich
My proactive approach to learning, combined with a meticulous work ethic, ensures that I not only meet but exceed the objectives set before me. I am committed to leveraging my robust communication and leadership skills to drive efficiency, enhance compliance, and mitigate risks for organizations and clients alike.
My expertise positions me to deliver tangible value in roles centered around Compliance, Operational Risk, and Controls within premier banks and financial institutions.
Weitere Kenntnisse
• Regulatory Compliance (WpHG, MaRisk, MiFID, AML)
• Operational Risk Management
• Internal Controls Implementation
• KYC Onboarding and Review
• Conflict of Interest (Col) Management
• Records Management
• Policy Writing and Implementation
• Risk Analysis and Mitigation
• Financial Analysis and Reporting
• Regulatory Reporting
• Market Research and Analysis
• Fund Management and Restructuring
• Idiosyncratic Non-Financial Risk Assessment
• Sales and Marketing Strategy
• Product Management in Financial Sector
• Superior English (IELTS 2023)
IT SKILLS
• Web3 & Cryptocurrencies
• Artificial Intelligence
• Microsoft Office Suite (Word, Excel, PowerPoint, etc.)
• SharePoint Management
• MS Teams
• Basic Web Development (CSS, HTML)
SOFTSKILLS
• Legal & Moral Integrity
• Problem-Solving Aptitude
• Positive Outlook and Resilience
• Effective Communication & Public Speaking
• Teaching, Training, and Mentoring
• Leadership and Team Management
• Collaborative Teamwork
• Agility and Adaptability
• Quick Assumption of Responsibilities
• Strategic Decision Making
Persönliche Daten
- Deutsch (Muttersprache)
- Englisch (Fließend)
- Europäische Union
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