Compliance expert
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- 60388 Bergen-Enkheim, Hessen
- Europa
- fr | de | en | es
- 18.08.2025
Kurzvorstellung
Qualifikationen
Projekt‐ & Berufserfahrung
5/2024 – 5/2025
Tätigkeitsbeschreibung
- Create a Compliance risk assessment and a regulatory watch process
- Develop and conduct a Compliance training and monitoring programme
- Rewrite Compliance policies and procedures in collaboration with the relevant business units
- Advise the internal stakeholders and interact with the Regulatory Authorities
Compliance Manager
1/2019 – 4/2024
Tätigkeitsbeschreibung
- Oversee Compliance reviews and testing across three regions (Asia-Pacific, EMEA, Latin America)
-Created and implemented a comprehensive Compliance Reviews and Testing program
- Lead Compliance monitoring and follow-up actions for country visits and third-party intermediary evaluations
-Manage a diverse team and oversee employee and intermediary Compliance training program
Directed Compliance review frameworks, country visits, and ongoing monitoring activities across the EMEA region
- Managed third-party intermediary risk assessments and training
- Led a team responsible for Compliance controls and adherence to regulatory policies
Compliance management, Compliance Manager, Controller, Risikoanalyse
11/2015 – 12/2018
Tätigkeitsbeschreibung
- Directed Anti-Financial Crime control and testing programs across EMEA
- Conducted regional risk assessments and managed remediation of Compliance shortcomings
- Provided oversight for legal entities across multiple jurisdictions, coordinating regular country visits
- Led a team to ensure compliance with anti-money laundering and fraud regulations
Compliance Manager, Controller, Management (allg.), Risikoanalyse
5/2013 – 10/2015
Tätigkeitsbeschreibung
- Served as the business partner for Derivatives Clearing in Frankfurt, ensuring regulatory adherence
- Managed compliance programs for AML, anti-bribery, sanctions, and securities compliance
- Supervised ongoing monitoring and conducted regular reviews of regulatory governance
- Led a team in charge of Compliance-related operations across several jurisdictions
Compliance-Beauftragter, Compliance Manager, Management (allg.), Risikoanalyse
11/2008 – 4/2013
Tätigkeitsbeschreibung
- Advised fixed income sales and trading teams on Compliance issues and regulatory policies
- Coordinated Compliance and financial crime activities for Western and Eastern Europe
- Conducted risk assessments related to fraud, bribery, sanctions, and AML
Risikoanalyse, Compliance Manager, Management-Schulung, Schulungskonzepte
7/2005 – 11/2008
Tätigkeitsbeschreibung
- Developed and implemented the OpRisk monitoring tool to enhance operational risk management framework
- Supported corporate units in improving operational processes and mitigating risk exposures
- Acted as the primary contact for legal and audit topics
Risikoanalyse, Risikospezialist
10/2002 – 6/2005
Tätigkeitsbeschreibung
- Established the middle office in Frankfurt to support debt capital markets operations
- Managed relationships with customers and internal departments, ensuring smooth derivative transactions and margin call reconciliations
Management (allg.)
1/2000 – 10/2002
Tätigkeitsbeschreibung
- Established and managed the risk controlling department, integrating comprehensive risk controls
- Ensured market conformity and implemented reconciliation systems between hedge and futures positions
Compliance-Beauftragter, Risiko-Manager, Risikomanagement
10/1994 – 12/1999
Tätigkeitsbeschreibung
- Confirmations Officer – Equities, Westdeutsche Landesbank, Düsseldorf, Germany (1998–1999)
- Execution Trader – Equities, Bonds, Futures, Options, MM Warburg Bank, Luxembourg (1998)
- Back Office Employee – Equities and Bonds, Finacor Rabe und Partner, Frankfurt, Germany (1997–1998)
- Private Client Relationship Manager, Banque Populaire Savoisienne, Gaillard, France (1994–1997)
Kundenberater
Zertifikate
Frankfurt School of Finance - Frankfurt (D)
Börse Frankfurt (D)
Ausbildung
Ecole Supérieure de Commerce
La Rochelle (F)
Institut Universitaire de Technologie
Annecy (F)
Über mich
Expertise in Anti-Financial Crime, AML, Fraud, Sanctions, and Risk Assessments. Proven track record in developing and implementing control frameworks.
Multicultural Leadership
Extensive experience managing teams across EMEA, AP, and Latin America regions. Skilled in leading diverse and multicultural teams.
Regulatory Compliance
Proficient in interactions with regulators (e.g. BaFin, ESMA), external and internal auditors. Strong background in finance, operations, and regulatory compliance.
Control Framework
Expertise in Compliance Testing, Monitoring, and Regulatory Adherence. Skilled in creating and implementing comprehensive compliance programs.
Training & Development
Oversight of compliance training for employees and third-party intermediaries. Experience in developing and conducting training programs.
Technology
Proficient in Microsoft Office, Oracle - SQL Database. Experience in implementing and using compliance and risk management tools.
Persönliche Daten
- Französisch (Muttersprache)
- Deutsch (Fließend)
- Englisch (Fließend)
- Spanisch (Gut)
- Europäische Union
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