freiberufler FinCrime Platform Business Interim Specialist / FinCrime (AFC) Compliance Consultant auf freelance.de

FinCrime Platform Business Interim Specialist / FinCrime (AFC) Compliance Consultant

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  • Frankfurt am Main
  • Europa
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  • 13.12.2023

Kurzvorstellung

Financial Crime Compliance consulting for banking and financial industry covering themes: Processes, Controls, Gap Analysis and Operations and reg. topics: AML, GwG, AFC, KYC, WphG, MADII/MAR, MiFiDII/MiFiR, ESG , etc.

Auszug Referenzen (2)

"Herr K. war für uns als Externer Berater tätig. Seine Schwerpunkte waren: AML, Transactions Monitoring, KYC, Market Abuse."
External Consultant
Dr. Georgios Frangou
Tätigkeitszeitraum

10/2019 – 4/2020

Tätigkeitsbeschreibung

In this project we are mandated to make bank's compliance processes better and quicker. I directly reported to the head of financial security / compliance. In particular my tasks were:
- Improving Transactions Monitoring Alert Clearing Process and writing specific work instructions / best practices for Alert Investigation in Actimize SAM Tool
- Investigating Suspicious Activity Alerts and executing 2nd level controls for Sanctions Filtering Alerts in Fircosoft Tool
- Removing obstacles in the Alert Clearing Process and establishing a new risk-based alert investigation & research approach
- Improving New Corporate and Institutional Customer On-Boarding Process by balancing task distribution between Compliance (2nd level) and KYC Processing (1st Level) Team based on the risk of the customer; Automating KYC Matrix Update Process.
- Digitalising Procedure Management and Procedure Tracking Processes by defining exact to-dos for specific teams and specific events e.g. Regulation Update, Internal Policy change, etc.
- Updating older local policies and working instructions for various compliance domains e.g. KYC, MiFiD II, Fraud, GDPR, Market Abuse, Sanctions Monitoring, etc.
- Re-defining AML Risk Calculator
- Business Requirements, Gap Analysis, Testing and Tuning for Market Abuse Remediation Project for Sell-Side Account-Keeping Activity.

Eingesetzte Qualifikationen

Compliance management, Prozessoptimierung

"[...] [...] worked as a consultant at Deutsche Börse AG from July 15 - October 18, 2019 supporting the Customer Onboarding & Maintenance project."
Business Analyst / Process Analyst
Lisa Norris
Tätigkeitszeitraum

7/2019 – 10/2019

Tätigkeitsbeschreibung

Project: Corporate Customer On-Boarding and Maintenance
- Lead BA for On-Boarding Sub-Stream Implementation involving SAP Fiori/SAP CRM
- Business Analysis for KYC Review Project Implementation involving SAP Fiori
- Workshop Moderation between Business and IT
- Requirements Elicitation from Relationship Managers, Account Administrators, Client Lifecycle Management, Middle Office, Key Account Managers, Local Compliance and Group Compliance teams.
- User Acceptance Testing
- Prozessanalyse

Eingesetzte Qualifikationen

Business Analyse, Jira, Kanban (Softwareentwicklung), SAP CRM, SAP Fiori, SCRUM, Six sigma

Qualifikationen

  • Business Analyse
  • Compliance Analyst
  • Compliance management
  • Compliance Specialist
  • Interim Management
  • Presales
  • Projektleitung / Teamleitung (IT)
  • Projektmanagement - Softwaretool-Beratung
  • Projektmanagement - Vorstudien / Machbarkeitsstudien
  • Prozessoptimierung

Projekt‐ & Berufserfahrung

External Consultant - Onboarding/KYC Straight Through Processing for Business Banking
Kundenname anonymisiert, Remote/Frankfurt
9/2023 – 12/2023 (4 Monate)
Banken
Tätigkeitszeitraum

9/2023 – 12/2023

Tätigkeitsbeschreibung

As External Consultant, I provided technical and business advisory and support for the Business Banking area for the KYC E2E development team, with the goal of building a new KYC module.

Tasks:

Integrated a new API interface with an external partner for data provision.
Adapted an existing API for ID&V processes.
Adapted the existing SharePoint system for document archiving and document metadata.
Connected to the internal KYC service for essential KYC checks.
Developed a comparison service to compare customer data with different data sources and, if necessary, create manual tasks (integration with a task management system required).
Provided a user interface for operational interventions.
Orchestrated the above functions using a workflow tool.

Approach:

Collaborated closely with the 2LOD, Tax Compliance and KYC Operations teams to understand the specific requirements and context of the KYC E2E development project.
Employed a data-driven approach to analyze existing processes and systems.
Utilized expertise in business analysis and technology to design and implement the new KYC module.
Ensured that all development efforts aligned with business requirements and technical feasibility.

Outcome:

Successfully delivered a new KYC module(MVP) that met the needs of the Business Banking area.
Improved the efficiency and effectiveness of KYC processes.
Enhanced customer experience by providing a frictionless KYC onboarding process.
Played a key role in strengthening the bank's risk management framework.

Eingesetzte Qualifikationen

Confluence (Atlassian), Microsoft Azure, Compliance management

External Advisor (Senior AML Expert) - Remediation of BaFin Findings (AFC/AML)
KEB HANA Bank (Deutschland) AG, Frankfurt am Main
6/2023 – 12/2023 (7 Monate)
Banken
Tätigkeitszeitraum

6/2023 – 12/2023

Tätigkeitsbeschreibung

In the role of an External Advisor acting as a Senior AML Expert, I played a pivotal role in advising on the remediation of BaFin Findings, specifically focusing on Transaction Monitoring Gaps. My responsibilities included:

Tasks Performed:
Advised on the remediation of BaFin Findings related to Transaction Monitoring Gaps.
Conducted an in-depth analysis of Alert Productivity Rates.
Analyzed the findings provided by BaFin.
Examined historical transactions and created transactional profiles.
Developed new procedures to address newly established processes.
Created new work instructions and guidelines for compliance.
Initiated a new round of threshold changes and tuning for improved monitoring.
Assisted in the creation of a Risk Analysis Methodology.
Prepared the Risk Analysis Report.

Approach:
Collaborated closely with the team to understand the specific BaFin findings and the context of the remediation project.
Employed a data-driven approach to analyze alert productivity rates and historical transactions.
Utilized expertise in AML (Anti-Money Laundering) to provide effective solutions and recommendations for compliance.
Ensured that all remediation efforts aligned with regulatory requirements and best practices.

Outcome:
Successfully advised on the remediation of BaFin Findings, addressing Transaction Monitoring Gaps.
Provided comprehensive analyses and actionable recommendations to enhance the compliance framework.
Played a crucial role in improving alert productivity rates and overall compliance effectiveness.

Eingesetzte Qualifikationen

Compliance management

External Consultant / Business Analyst - Implementation of Customer Onboarding IT Platform
Natwest Bank, Remote/Frankfurt
7/2022 – 5/2023 (11 Monate)
Banken
Tätigkeitszeitraum

7/2022 – 5/2023

Tätigkeitsbeschreibung

As a Business Analyst, I assisted a subsidiary of a leading UK Bank in developing and executing new processes and an IT platform to streamline Customer Onboarding and Due Diligence procedures with the objective of creating an IT platform that could automate customer onboarding and related processes in a post-Brexit world.

Tasks performed:
Conducted a comprehensive Technical Gap Analysis
Created Functional Specifications
Conducted Process Analysis
Performed Regulatory Gap Analysis
Coordinated between Business and IT Teams
Conducted User Acceptance Testing
Provided Go-Live support
Carried out After-Go-Live tasks

Approach:
Worked closely with the subsidiary to identify areas of improvement
Defined the project's scope
Developed strategies to ensure successful implementation of the IT platform
Provided valuable insights and recommendations based on expertise in the domain

Outcome:
Crucial role in the success of the project
Delivered high-quality work that exceeded the subsidiary's expectations.

Eingesetzte Qualifikationen

Business Analyse, Business Process Model and Notation (BPMN)

Consultant - Interim Specialist - FinCrime Governance & Key Controls (Internal Control Framework)
ING DIBA, Remote
4/2022 – 7/2022 (4 Monate)
Banken
Tätigkeitszeitraum

4/2022 – 7/2022

Tätigkeitsbeschreibung

As a member of the Financial Crime Compliance Governance and Controls team, I ensured that the Key Controls outlined in the Compliance Monitoring Plan were effectively implemented and executed by the Bank's 2nd Line of Defence in accordance with the KYC Policy and Internal Control Framework.

Tasks performed:
Conducted Compliance Monitoring Review Workshops with key stakeholders
Conducted interviews based on a pre-defined template
Conducted research on internal policies, procedures, guidelines, and work instructions
Documented the findings of the workshops
Provided recommendations for addressing any gaps or weaknesses identified in the controls or their effectiveness

Approach:
Ensured robust and effective financial crime compliance governance and controls
Minimized the risk of financial crime
Protected the Bank's reputation

Outcome:
Contributed to the effective implementation and execution of Key Controls
Helped to minimize the risk of financial crime
Contributed to protecting the Bank's reputation

Eingesetzte Qualifikationen

Compliance management

Compliance Consultant / Solution Engineer - Financial Crime
HAWK.AI, Remote
6/2021 – 5/2022 (1 Jahr)
IT & Entwicklung
Tätigkeitszeitraum

6/2021 – 5/2022

Tätigkeitsbeschreibung

I helped a small start-up in their solution engineering to create and bring an AI-based AML and Fraud solution to the market, covering payments screening and transactions monitoring using Agile Development in German and English.

Tasks performed:
Developed the business by understanding prospect needs and identifying problems
Managed client integration projects to successful go lives
Consulted on mapping Money Laundering Red Flags with Detection Algorithms and models
Recommended enhancements and filling gaps
Created concepts to integrate their tool with established Transactions Monitoring Tools
Developed new features to cover other KYC topics like CDD, CRRM, Onboarding, and Regular Reviews

Approach:
Used Agile Development in MS Teams, Confluence, Jira, Slack, and Kanban-Board
Collaborated with a small start-up to bring an AI-based AML and Fraud solution to the market
Developed new features to cover other KYC topics

Outcome:
Successfully created and brought an AI-based AML and Fraud solution to the market
Developed new features to cover other KYC topics
Collaborated with the start-up to ensure successful integration of their tool with established Transactions Monitoring Tools.

Eingesetzte Qualifikationen

Compliance management, Presales

External Consultant - Interim Specialist - Anti-Financial Crime Risk Modelling Analytics
Deutsche Bank AG, Remote
6/2021 – 12/2021 (7 Monate)
Banken
Tätigkeitszeitraum

6/2021 – 12/2021

Tätigkeitsbeschreibung

I advise the bank's Anti-Financial Crime Risk Modelling Unit in creating a new annual report on non-financial risk typologies affecting the bank and their coverage assessments, which involved identifying money laundering red flags, grouping them into risk themes, mapping themes across the bank's products, services, locations, and source systems, and identifying gaps and providing recommendations.

Tasks performed:
Identified money laundering red flags
Grouped red flags into risk themes
Mapped themes across the bank's products, services, locations, and source systems
Identified gaps and provided recommendations to improve coverage
Worked with tools including SMARAGD, MANTAS, PRIME, TFI, and AMS

Approach:
Collaborated with the bank's Anti-Financial Crime Risk Modelling Unit under the CRO
Created a new annual report on non-financial risk typologies affecting the bank and their coverage assessments
Used a range of tools to carry out the project

Outcome:
Produced a new annual report on non-financial risk typologies affecting the bank and their coverage assessments
Identified gaps and provided recommendations to improve coverage of money laundering red flags
Improved the bank's understanding of non-financial risk typologies and their coverage assessments.

Eingesetzte Qualifikationen

Business Analyse, Compliance management

Capital Markets Compliance Project Leader / Consultant - "Digitization Compliance/Financial Crime"
Union Investment, Remote
5/2020 – 9/2021 (1 Jahr, 5 Monate)
Finanzdienstleister
Tätigkeitszeitraum

5/2020 – 9/2021

Tätigkeitsbeschreibung

In the Digitalisation Compliance project, I worked as a business project manager to digitize the Compliance department's processes, with one sub-project focused on the Market Abuse Regulation (MAR) requirements.

Breakdown:
As a project manager, my primary responsibility was to digitize the Compliance department's processes, focusing on the Market Abuse Regulation (MAR) requirements.
I conducted an Impact and Risk Analysis for the Market Abuse Regulation and implemented a Trade Surveillance Tool to meet the MAR requirements.
I also performed Business Analysis, Requirements Management, Issues Tracking, System and UAT Testing of the Tool to ensure its effectiveness.
I mapped data between Actimize Cloud Surveillance Tool and Union Investment's internal systems such as Charles River (CR IMS) and Fix Gateway and validated data quality.
I studied and analyzed the Order Lifecycle Process within the group, identifying and describing complex scenarios such as Plain Vanilla, Split and Merge Order Lifecycles.
I created Alert Investigation Best Practices and Internal Procedures and trained users on trade surveillance scenarios and tool usage.
Lastly, I provided expert assessments in investigating Alerts and created STORs for BaFIN to ensure compliance.

Eingesetzte Qualifikationen

Compliance management, Wertpapierhandel

External Consultant
CACEIS (Credit Agricole Group), München
10/2019 – 4/2020 (7 Monate)
Banken
Tätigkeitszeitraum

10/2019 – 4/2020

Tätigkeitsbeschreibung

In this project we are mandated to make bank's compliance processes better and quicker. I directly reported to the head of financial security / compliance. In particular my tasks were:
- Improving Transactions Monitoring Alert Clearing Process and writing specific work instructions / best practices for Alert Investigation in Actimize SAM Tool
- Investigating Suspicious Activity Alerts and executing 2nd level controls for Sanctions Filtering Alerts in Fircosoft Tool
- Removing obstacles in the Alert Clearing Process and establishing a new risk-based alert investigation & research approach
- Improving New Corporate and Institutional Customer On-Boarding Process by balancing task distribution between Compliance (2nd level) and KYC Processing (1st Level) Team based on the risk of the customer; Automating KYC Matrix Update Process.
- Digitalising Procedure Management and Procedure Tracking Processes by defining exact to-dos for specific teams and specific events e.g. Regulation Update, Internal Policy change, etc.
- Updating older local policies and working instructions for various compliance domains e.g. KYC, MiFiD II, Fraud, GDPR, Market Abuse, Sanctions Monitoring, etc.
- Re-defining AML Risk Calculator
- Business Requirements, Gap Analysis, Testing and Tuning for Market Abuse Remediation Project for Sell-Side Account-Keeping Activity.

Eingesetzte Qualifikationen

Compliance management, Prozessoptimierung

Business Analyst / Process Analyst
Deutsche Börse, Frankfurt am Main
7/2019 – 10/2019 (4 Monate)
Börsen
Tätigkeitszeitraum

7/2019 – 10/2019

Tätigkeitsbeschreibung

Project: Corporate Customer On-Boarding and Maintenance
- Lead BA for On-Boarding Sub-Stream Implementation involving SAP Fiori/SAP CRM
- Business Analysis for KYC Review Project Implementation involving SAP Fiori
- Workshop Moderation between Business and IT
- Requirements Elicitation from Relationship Managers, Account Administrators, Client Lifecycle Management, Middle Office, Key Account Managers, Local Compliance and Group Compliance teams.
- User Acceptance Testing
- Prozessanalyse

Eingesetzte Qualifikationen

Business Analyse, Jira, Kanban (Softwareentwicklung), SAP CRM, SAP Fiori, SCRUM, Six sigma

External Consultant - Interim Specialist - Market Abuse / Trade Surveillance (Financial Crime)
Deutsche Bank PFK AG, Bonn
5/2018 – 5/2019 (1 Jahr, 1 Monat)
Banken
Tätigkeitszeitraum

5/2018 – 5/2019

Tätigkeitsbeschreibung

As a consultant hired by Postbank's Financial Crime Compliance Unit to help achieve coherence with Deutsche Bank Privat und Firmenkunden AG's systems, policies, and procedures, my main focus was on Trade Surveillance and Market Abuse in accordance with German WpHG regulations. In this project, I undertook the following tasks:

Conducted a Business and Gap Analysis between Postbank's and Deutsche Bank's (Berlin) Trade surveillance systems, policies, and procedures to identify gaps and differences.
Provided directions and best practices on how to unify and reconcile the gaps and differences to achieve coherence between the two systems.
Acted as an Interim Compliance Officer, contributing to Compliance Monitoring Reviews and Compliance Monitoring Plans, and investigating Trade Surveillance Alerts to fill in Suspicious Trade and Order Reports (STORs) to BaFIN.
Acted as a Business Analyst in changing current configurations, thresholds, and settings for Trade Surveillance Tool at Postbank end, ensuring that it meets the new coherence requirements.
Provided Subject Matter Training on Market Abuse and Trade Surveillance to both Postbank Compliance and Berlin-Based Deutsche's Compliance Unit to ensure that all personnel involved were informed and well-trained on compliance matters.
Through my contributions, I helped Postbank and Deutsche Bank Privat und Firmenkunden AG achieve coherence in their Trade Surveillance and Market Abuse systems, policies, and procedures, ensuring compliance with German WpHG regulations, and minimizing the risk of financial crime.

Eingesetzte Qualifikationen

Compliance management

Project Co-Lead and Coordinator - Financial Crime Special Investigations Taskforce
Deutsche Bank, Frankfurt
12/2017 – 2/2018 (3 Monate)
Banken
Tätigkeitszeitraum

12/2017 – 2/2018

Tätigkeitsbeschreibung

A Financial Crime Supervision Unit of a bank wanted to investigate the Paradise Papers leaks and assess their impact on the bank, so they commissioned a boutique US Compliance Advisory which hired me as a Financial Crime Expert and Project Co-Lead.

Breakdown of tasks:

Coordinated a team of 5 and acted as Co-Lead in the absence of the Project Lead.
Investigated the Paradise Papers and other relevant leaks.
Defined the need/concept for Visual Link Analysis and supported in developing a tailored Search Database for Internal DB investigators.
Worked together with Senior Investigators on Case Studies based on the leaks, flagging potential KYC/AML/Tax Avoidance/Adverse Media and Publicity Risks to the bank.

Eingesetzte Qualifikationen

Projektleitung / Teamleitung (IT)

Project Leader / Consultant - AML/KYC Tool Global Roll-Out (Financial Crime)
Commerzbank, Frankfurt
10/2016 – 5/2018 (1 Jahr, 8 Monate)
Banken
Tätigkeitszeitraum

10/2016 – 5/2018

Tätigkeitsbeschreibung

As an Actimize expert and Project Business Lead, I joined Commerzbank's Global Roll-Out Project in 21 locations of the world.

Tasks:
Conducted Business Analysis and Requirements Management for AML/KYC/CDD, CTF, Name Screening domains.
Conducted UAT Testing, Test Cases, and Test Acceptance.
Conducted Data Mapping between Actimize AML/KYC Case Management Tool and Bank's internal databases.
Conducted Workshops with Internal Compliance Analysts (Tool Training).
Implemented complex Workflow/Permissions/Restrictions in the tool.
Integrated DJ Factiva Listen (Sanctions, PEPs, SIP/SIE, Adverse Media/SOC & Internal Lists).
Conducted Impact assessment of Information Sharing Pre-Studies on the Name Screening (KYC) Tool subject of worldwide roll-out.
Supervised Project Team, Project Effort, and Quality.
Acted as Proxy Product Owner, taking part in Daily Stand-Ups and providing business view during sprints and retrospectives.
Provided expert advice in building Compliance Target Operating Model and building bridges between various Compliance Tools.
Provided expert advice on Corporate Customer On-Boarding Process and in particular Pre-Compliance/Post-Compliance Process Step Implementations.

Approach:
Conducted Business Analysis and Requirements Management to understand the project scope and deliverables.
Worked closely with the Project Team to ensure UAT testing, data mapping, and integration of the DJ Factiva Listen tool were completed successfully.
Conducted workshops with Internal Compliance Analysts to provide tool training and implement complex workflows, permissions, and restrictions in the tool.
Supervised the project team and provided expert advice on building Compliance Target Operating Model and Corporate Customer On-Boarding Process.

Outcome:
Successfully completed Business Analysis and Requirements Management, UAT Testing, and Data Mapping.
Successfully integrated the DJ Factiva Listen tool and implemented complex workflows, permissions, and restrictions in the tool.
Conducted Impact assessment of Information Sharing Pre-Studies on the Name Screening (KYC) Tool subject of worldwide roll-out.
Provided expert advice on building Compliance Target Operating Model and Corporate Customer On-Boarding Process.

Eingesetzte Qualifikationen

Business Analyse, Projektleitung / Teamleitung (IT)

Securities Compliance Data Expert - Trade Surveillance (Financial Crime)
Danske, Kopenhagen
5/2016 – 9/2016 (5 Monate)
Banken
Tätigkeitszeitraum

5/2016 – 9/2016

Tätigkeitsbeschreibung

I joined Danske as a Market Abuse/Trade Surveillance Expert to solve their data mapping issue between external trade surveillance vendor tool and internal systems.

Tasks:
Conducted business analysis, gap analysis, and data analysis to understand the problem.
Conducted data mapping and data validation between Actimize tool and internal trading and order management systems such as Fidessa, ION, Tradeweb, Bloomberg, and OneTick by OneMarketData.
Collaborated with internal teams to ensure data accuracy and quality.
Developed and implemented a comprehensive solution for data mapping problem.
Provided recommendations to optimize the process and improve efficiency.

Eingesetzte Qualifikationen

Business Analyse

Project Leader / Consultant - Market Abuse / Trade Surveillance - Financial Crime
ING DIBA, Frankfurt am Main
4/2016 – 12/2016 (9 Monate)
Banken
Tätigkeitszeitraum

4/2016 – 12/2016

Tätigkeitsbeschreibung

The project involved conducting an impact analysis of Market Abuse Regulation on the bank and its trading business, and carrying out business analysis, requirements management, and testing in JIRA, among other tasks.

Tasks:
Conducting an impact analysis of Market Abuse Regulation (MADII/MAR, WPHG, MACOMP) on the bank and its trading business
Performing business analysis and requirements management
Testing in JIRA
Data mapping of Actimize Cloud Surveillance Tool vs. ING DIBA Order Management System
Developing trade surveillance best practices, internal procedures, and policies
Providing training to compliance analysts.

Eingesetzte Qualifikationen

Business Analyse

Project Leader / Consultant - Market Abuse / Trade Surveillance - Financial Crime
BNP Paribas (Consorsbank), Nürnberg
3/2016 – 2/2017 (1 Jahr)
Banken
Tätigkeitszeitraum

3/2016 – 2/2017

Tätigkeitsbeschreibung

The project involved conducting an impact analysis of the Market Abuse Regulation on the bank and its trading business, as well as performing business analysis, data mapping, and trade surveillance best practices.

Tasks:
Conducting an impact analysis of the Market Abuse Regulation (MADII/MAR, WPHG, MACOMP) on the bank and its trading business.
Performing business analysis, requirements management, and testing using Jira.
Conducting data mapping between Actimize, Kordoba, and market data vendor IDC.
Developing trade surveillance best practices, internal procedures, and policies, and training compliance analysts.
Supervising the project team, project effort, and timelines.

Approach:
Conducted a thorough analysis of the Market Abuse Regulation and its potential impact on the bank and its trading business.
Gathered requirements and performed testing using Jira.
Conducted data mapping between the Actimize, Kordoba, and market data vendor IDC to ensure effective trade surveillance.
Developed trade surveillance best practices, internal procedures, and policies.
Trained compliance analysts to ensure they are aware of the latest best practices and regulations.

Outcome:
Successfully conducted an impact analysis of the Market Abuse Regulation and developed effective business analysis and requirements management procedures.
Successfully performed data mapping and implemented best practices to ensure effective trade surveillance.
Developed internal procedures and policies to ensure compliance with regulations and trained compliance analysts to keep them informed of the latest best practices and regulations.
Supervised the project team to ensure the project was completed within the specified timelines and met the required standards.

Eingesetzte Qualifikationen

Business Analyse, Projektleitung / Teamleitung (IT)

Consultant & BA - Financial Crime Consulting (Financial Markets, Energy Trading, Money Launderi (Festanstellung)
Nice Actimize, Frankfurt
4/2014 – 3/2016 (2 Jahre)
IT & Entwicklung
Tätigkeitszeitraum

4/2014 – 3/2016

Tätigkeitsbeschreibung

The role involved Business Analysis for various compliance domains using Actimize at a financial institution.

Tasks:
Conduct Business Analysis for Trade Surveillance, Market Abuse and Insider Trading using Actimize
Conduct Business Analysis for Energy Trading Compliance using Actimize
Conduct Business Analysis for Anti Money Laundering (AML) - Suspicious Activity Analysis using Actimize
Conduct Business Analysis for Know Your Customers (KYC) - Name Screening, Transaction Screening, and Customer Scoring using Actimize
Conduct Business Analysis for Sales Practices and Suitability - Markets in Financial Instruments Directive (MiFID) using Actimize.

Eingesetzte Qualifikationen

Business Analyse, Compliance management

Zertifikate

Certified Professional for Requirements Engineering (CPRE) vom IREB
2019
Certificate Of Completion: Project Management Foundations Budgets
2018
Certificate Of Completion: Program Management Foundations
2018
Certificate Of Completion: Executive Leadership
2018

Ausbildung

International Applied Finance
M.Sc.
2011
Magdeburg
International Economics
B.Sc.
2008
Tbilisi

Über mich

Business Functional Lead, Business Oriented Business Analyst, Interim Compliance Experte, Interim Compliance Analyst, Interim Compliance Specialist, Interim Compliance Manager, Interim AML Analyst, Interim KYC Analyst, Interim WpHG Specialist

Weitere Kenntnisse

MS Office, Jira, Alertregeln, Alarmregeln, false positives, true positives, Detection, Szenarien, Incidents, Forensik, Incident Detection, Rollen, Rollenkonzept, Rollenmanagement, Access Rights, Actimize, Mantas, B-Next, Actico, OneTick, Fidessa, RDC, DJ Factiva, Lexis Nexis, Bloomberg, Reuters, ION, Tradeweb, IBM Watson, IBM I2, Echobot, Dow Jones Online, SIRON AML, Fico Tonbeller, Fircosoft, Accuity, Smaragd, WPdirect, WP2, DWP, WPDynamic, B-Next CMC, Nasdaq SMARTs, Microsoft 365, MS Azure, Neo4J, Jira, MS Visio, SimCorp (SCD), BIRT, Onboarding, KYC, Regular Review, Due Dilligence, AML, MAD/MAR, wphg, mifidII, mifir, bafin, STOR, SAR, crime, financial crime, transactions monitoring, trading surveillance, Handelsüberwachung, Alert Handling, workflows, Sanctions Screening, Name Screening, Transactions Filtering, Corruption, Fraud, Investigation, Market Integrity, Client Protection, AML Risk Classification, Mifid Classification, Employee Surveillance, Compliance-Monitoring, Conflict of Interest, COI, Policies, Chinese Wall, Information Barriers, Insider Lists, Marktmissbrauch, Finanzkriminalität, Steuerhinterziehung, Vorstudien, Machbarkeitsstudien, Geldwäsche

Persönliche Daten

Sprache
  • Deutsch (Fließend)
  • Englisch (Muttersprache)
  • Russisch (Fließend)
  • Georgisch (Muttersprache)
Reisebereitschaft
Europa
Arbeitserlaubnis
  • Europäische Union
Profilaufrufe
9808
Berufserfahrung
12 Jahre und 1 Monat (seit 01/2012)
Projektleitung
3 Jahre

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