Manage regulations from multiple jurisdiction and implement new regulations into existing control systems.
Knowledge of MiFID II, FIDLEG, UCITS, ESG, FATCA CSSF, AMF, FCA and others.
Experienced in client management and transaction monitoring (KYC, AML, PEP), client advice (S&A) and investment documentation (KIID, PRIIP).
Preparation of internal and external compliance audit. Managing complex remediation projects based on internal re-assessment or audit findings.
Draft and update policies and procedures. Set-up compliance control systems. Educate colleagues in accordance to updated procedures and lead implementation process of new regulations.
Broad knowledge of financial products and markets in regard to characteristic and functionality. Highly familiar with complex investment structures (Trust, Holdings, Foundations, etc.) across various jurisdictions.
Oversight of risk management systems in regard to compliance risk, business risk and operational risk.
Business Analysis & Project Management (12+ years’ experience)
Create GAP Analysis based on Stakeholder requirements and act as interface between business and IT.
Create functional and non-functional project documentation to capture project objectives and timeline (BRD).
Define solutions and steps to archive desired outcome and oversee entire Development process (SDLC).
Strong stakeholder management skills across department and communication with higher management.
Several years of Project Management experience. Leading projects and teams in agile environment.
Manage and facilitate UAT and provide post-implementation support to assure successful project closeout.
Operations & Process Management (10+ years’ experience)
Optimising and enhancing business processes and operations (BPM, TOM) to improve effectiveness.
Digitalisation of business operations and business processes with standard and tailored solutions (SaaS)
High business and financial awareness in negotiating with suppliers to acquire external solutions.
Outsourcing and standardization of operational procedures to reduce costs and increase efficiency.
Software Skills
Project Management Confluence, Jira, Slack, Azure DevOps, Trello, Click Up, SAP Risk S/4, SAP HCM, Xray, Exalate
Data Analysis Excel, Access, SAP, R, IBM DB2, Stata, SQL, Teradata, Tableau, SAS, Oracle DBMS
Banking & Compliance Charles River, Actimize, Bloomberg, LexisNexis, Avaloq, World Check, SAP GTS, SAP Signavio, Oracle FLEXCUBE, Luxoft, RegTech, Siron
Publication World Press, Adobe Suite (In Design & Photoshop), Power Point, Canva, SEO, Microsoft Office, Google Suite
Erfahrung
Berufserfahrungmehr als 10 Jahre
Freelancer seit2020
Sprachen
DeutschMutterspracheEnglischMuttersprache
Projekthistorie
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Senior Compliance Manager (Project Lead & Business Analyst)
Banken und Finanzdienstleistungen
>10.000 Mitarbeiter
Analyse reports from banks and third parties on investment positions held in mutual funds and identify compliance breaches and risks related with them.
Interact with counterparties internally and externally, to define scope of client information, that is required to be disclosed, in order to archive full compliance with all applicable regulations.
Perform analysis on clients’ holdings regarding their PEP status, US status und IE status, applying regulations primarily from Switzerland, Luxembourg, EU and US.
Conduct remediation of client investments in mutual funds to ensure compliance with applicable regulations.
Track disclosure of client information and push back external requests, where needed, to limit the exposure of client information and the bank.
Improve existing processes to ensure efficiency and compliance for future investments by affected clients.
Draft new internal guidelines and define procedures for client onboarding, advisory, offering and transaction monitoring.
Perform AML/KYC account reviews to ensure full compliance with regulatory standards in accordance to Liechtenstein, Swiss and EU law and identify risks.
Interact directly with the relationship managers in regard to KYC-Hits and due diligence to address account related risks and compliance breach.
Identify potential compliance risks regarding clients status (PEP, EP), clients business and investment structure. Observe potential geopolitical challenges related to client investments and account activities
Advise on actions in response to compliance breach i.e. account freeze, account closure, report to regulators.
Collaboration with account opening, onboarding and tax department to ensure compliance for new accounts.
Mitigate and escalate identified issues and limit the bank’s compliance risk exposure.
Senior Compliance Officer – AML Specialist
Banken und Finanzdienstleistungen
250-500 Mitarbeiter
Overhaul and review of client documentations (KYC) in accordance to Swiss Law, AML policies and internal guidelines for account openings and account approval for crypto and digital assets.
Assess customer data and serve in an advisory capacity to the business unit as well as conducting conceptional work for the compliance framework and systems.
Development and execution of 2nd line of defence controls by identifying gaps in client documentation, onboarding and reporting presenting findings to management.
Complete risk assessments during the PEP relationship opening process (AML, Political/Reputational risk).
Identify potential AML risk during the entire client lifecycle (GmeR, TmeR).
Business Analyst Regulatory Management
Banken und Finanzdienstleistungen
>10.000 Mitarbeiter
Managing implementation of sustainable investment methodologies within the Asset Management division, in accordance with the EU ESG regulation. Analyse impact of related developments and issues.
Creating ESG profile questionnaire to assess client preferences as part of suitability & appropriateness.
Analysing impact of clients ESG preference on different asset classes and aligning with applicable fund regulations (UCITS, AIFMD, MIFID and PRIIP). Collaborating with Product team regarding fund data and setup.
Aligning project documentation with IT departments and provide sign-off for IT-functional documents.
Coordinating project process with IT and Business, to ensure successful implementation and transition.
Planning and holding training sessions on new functionalities and processes for all stakeholder division-wide.
Business Analyst Regulatory Compliance
Banken und Finanzdienstleistungen
>10.000 Mitarbeiter
Analysing regulatory changes on their business impact and create implementation roadmap to ensure compliance. (MiFID II, FIDLEG, Risk Analyser, Suitability & Appropriateness, KID, KYC/AML/PEP-Check).
Handling stakeholder requirements and managing change request in respect to overall impact on systems and project budget. SME on regulatory topics for the Swiss and European market.
Writing requirement documentation (Business and IT) and provide guidance for IT Developers and Business during the implementation process. Acting as sole interface between Business and IT.
Supervising the SDLC for new functions within the existing IT infrastructure by applying agile methodologies. Monitoring development, testing and implementation process of projects and take appropriate action.
Successful project lead with a team of seven developers across EMEA and APAC (onshore and offshore) on various projects. Providing guidance and knowledge transfer to new team members.
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