freiberufler AML/CTF, Financial Sanctions, FATCA, CRS, GDPR auf freelance.de

AML/CTF, Financial Sanctions, FATCA, CRS, GDPR

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  • 1020 Wien
  • Weltweit
  • de  |  en  |  es
  • 28.12.2018

Kurzvorstellung

In my position as Compliance and AML Officer of international and Austrian credit institutions I conducted several projects:

Financial sanctions scheme
Outsourcing of transaction monitoring
4. AML Directive
FATCA
Account register
CRS
GDPR

Auszug Referenzen (1)

"Ich habe Fr. [...] als äußerst zuverlässige Mitarbeiterin kennegelern. Inhaltlich kompetent und effizient in der Umsetzung."
Head Legal Department (Festanstellung)
Markus Beuchert
Tätigkeitszeitraum

7/2011 – 12/2013

Tätigkeitsbeschreibung

 Support of the MB and the customer relationship managers concerning legal and compliance issues
 Responsibility for ongoing compliance training and policy reviews
 Coordination and cooperation with external consultants and authorities
 Legal support of the implementation of online banking and implementation of adequate processes in sight of Compliance, AML and CTF

Eingesetzte Qualifikationen

Rechtsberatung

Ich biete

  • AML/CTF (KYC, CDD, SRT, Risk Analysis)
  • Common Reporting Standard
  • Compliance
  • FATCA
  • General Data Protection Regulation
  • Rechtsberatung

Projekt‐ & Berufserfahrung

Regional Compliance Officer (Festanstellung)
International Credit Institution, Wien
9/2017 – 6/2018 (10 Monate)
Banken
Tätigkeitszeitraum

9/2017 – 6/2018

Tätigkeitsbeschreibung

 Regulatory mapping and counselling of MB and branches concerning EU regulations and guidelines, national laws as well as guidelines and circulars of Financial Market Authorities
 Advice of MB and branches on a broad range of areas such as AML/CTF, Compliance (FATCA, CRS, Registry of Accounts) and Internal Controls as well as legal matters like capital increase etc.
 Support of MB with the statement concerning the final audit report of the Austrian National Bank and setting up a remediation plan
 Preparation and conduct of the on-site visit of Financial Market Authority Austria and Portugal of the branch in Portugal
 Lead of projects: implementation of 4th AML Directive, GDPR and PSD II and a new IT-tool for PEP-, sanctions- and transactions monitoring, outsourcing
 Regular review and adaptation of policies and procedures concerning AML/CTF, FATCA, CRS, Account Registry and Compliance (e.g. New Product Approval Process, Remuneration Policy, Outsourcing Policy, Fit & Proper Policy etc.)
 Streamlining of internal processes (e.g. PEP-, sanctions- and transactions-monitoring, outsourcing) and guidance of the AML/CTF Officers in the branches
 Coordination and cooperation with state authorities of Austria and the branches as well as lawyers, consultants and external auditors
 Regular reports to internal and external stakeholders

Eingesetzte Qualifikationen

Risikomanagement (Finan.)

Head of Group AML/CTF, Financial Sanctions and FATCA (Festanstellung)
Raiffeisenlandesbank NÖ-Wien, Wien
1/2014 – 8/2017 (3 Jahre, 8 Monate)
Banken
Tätigkeitszeitraum

1/2014 – 8/2017

Tätigkeitsbeschreibung

 Advice on legal and compliance matters concerning AML/CTF, KYC, Financial Sanctions, FATCA, CRS and Registry of Accounts
 Projects: Outsourcing of transactions monitoring to the Servicing Center, implementation of technical requirements as well as processes and policies concerning Capital Outflow, Registry of Accounts, Common Reporting Standard and 4th Anti-Money Laundering Directive
 Responsibility for monitoring, review and analysis of legal and regulatory developments, updating policies and procedures and regular training of the employees (face-to-face-training or web-based-training)
 Implementation of new processes or streamlining existing processes in close cooperation with business lines in order to establish best practice approaches (e.g. online-credit, video-identification, identification through qualified third parties)
 Annual risk assessement considering the range of products, customers, regions and transactions
 Conduct of internal investigations concerning customers and transactions and filing Suspicious Activity Reports with the Austrian Financial Intelligence Unit
 Support and regular training of AML Officers of connected banks in Lower Austria
 Regular reports to MB, Financial Market Authority Austria and further internal and external stakeholders
 Coordination and cooperation with external consultants, lawyers, Financial Market Authority Austria and other state organisations
 Planning and organising human ressources within the department (14 employees) and implementation of efficient processes

Eingesetzte Qualifikationen

Risikomanagement (Finan.)

Head Legal Department (Festanstellung)
Autobank AG, Wien
7/2011 – 12/2013 (2 Jahre, 6 Monate)
Banken
Tätigkeitszeitraum

7/2011 – 12/2013

Tätigkeitsbeschreibung

 Support of the MB and the customer relationship managers concerning legal and compliance issues
 Responsibility for ongoing compliance training and policy reviews
 Coordination and cooperation with external consultants and authorities
 Legal support of the implementation of online banking and implementation of adequate processes in sight of Compliance, AML and CTF

Eingesetzte Qualifikationen

Rechtsberatung

Insolvency Department
AKV Europa, Wien
4/2010 – 6/2011 (1 Jahr, 3 Monate)
Öffentliche Verwaltung
Tätigkeitszeitraum

4/2010 – 6/2011

Tätigkeitsbeschreibung

 Support of national and international creditors concerning economic and legal matters in insolvency proceedings
 Representation of the interests of creditors in insolvency proceedings against legal and private persons at court and in creditors committees

Eingesetzte Qualifikationen

Rechtsberatung

Head of Department of Claims Management
AKV Europa, Wien
5/2002 – 2/2006 (3 Jahre, 10 Monate)
Öffentliche Verwaltung
Tätigkeitszeitraum

5/2002 – 2/2006

Tätigkeitsbeschreibung

 Counselling of the customers in all legal and economic matters concerning execution of claims
 Conduct of negotiations and support of the customers in enforcing their claims and in closing extrajudicial settlements
 Implementation of efficient processes in the department in Vienna and in the branches in Austria
 Responsibility for 25 employees and the efficient organisation of the department as well as regular training

Eingesetzte Qualifikationen

Rechtsberatung

Employee Legal Department (Festanstellung)
BOC Information Technologies Consulting GmbH, Wien
9/2000 – 12/2001 (1 Jahr, 4 Monate)
IT - Business Consulting
Tätigkeitszeitraum

9/2000 – 12/2001

Tätigkeitsbeschreibung

BOC Information Technologies Consulting GmbH
Legal Department
 Preparation of contracts, legal documents and notes
 Support of MB and customer relationship managers concerning contract negotiations and closings
 Assistance with an international contract negotiation in Dublin

Eingesetzte Qualifikationen

Handelsrecht

Zertifikate

University degree
Juni 2000

Ausbildung

Bachelor’s Program in Business, Economics and Social Sciences

(Common Body of Knowledge and all main subjects except specialisation)
Jahr: 2010
Ort: Vienna
Law

(12/2000)
Jahr: 2000
Ort: Vienna
Certified Mediator according to Articles 8 and 9 Mediation in Civil Law Act

(Ausbildung)
Jahr: 2000
Ort: Vienna

Qualifikationen

AML/CTF (KYC, CDD, sanctions- transactionsmonitoring, STR, risk analysis, regular reports)
Financial sanctions
FATCA
CRS
Data Protection


Über mich

As Regional Compliance Officer of Banco do Brasil I was responsible for AML/CTF and financial sanctions, Compliance (FATCA, CRS, Account Registry and GDPR) and Internal Controls for the headquarter in Vienna and guidance of the Compliance Officers in the branches in Portugal, Spain, Italy and France. My main tasks were regulatory mapping, review and adaptation of policies and procedures (e.g. New Product Approval Process, Remuneration Policy, Outsourcing Policy, Fit & Proper Policy etc.), regular trainings as well as the implemenation of the 4th Anti Money Laundering Directive and the General Data Protection Regulation. Furthermore I conducted the on-site visit of the Financial Market Authority Austria and Portugal of the branch in Portugal .

As Anti Money Laundering Officer of Raiffeisenlandesbank Niederösterreich-Wien AG I was responsible for the prevention of money laundering, terrorist financing and corruption as well as compliance with financial sanctions, FATCA and CRS. My main tasks were the support of my team (14 employees) with special cases concerning customer onboarding, KYC, CDD, SRT, regular reports, risk analysis, regulatory mapping, adaptation of policies and procedures and regular training of the stuff. Because of my profound understanding of regulatory requirements and close cooperation with the Financial Market Authority Austria I led the on-site visit of Raiffeisenlandesbank to a great success. Furthermore I supported connected banks of Lower Austria successfully with company visits of the Financial Market Authority.

I conducted the following projects successfully:
Implementation of a financial sanction scheme throughout the institution
Outsourcing of transaction monitoring
Implementation of the 4th AML Directive
Video identification
Capital Outflow
Account register
FATCA
CRS


Persönliche Daten

Sprache
  • Deutsch (Muttersprache)
  • Englisch (Fließend)
  • Spanisch (Gut)
  • Französisch (Grundkenntnisse)
Reisebereitschaft
Weltweit
Arbeitserlaubnis
  • Europäische Union
Home-Office
bevorzugt
Profilaufrufe
2059
Alter
48
Berufserfahrung
22 Jahre und 1 Monat (seit 09/2000)
Projektleitung
5 Jahre

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