Project Leader / Business Analyst / Financial Crime Expert /Fachlicher Berater
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- Hessen
- Europa
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- 13.07.2021
Kurzvorstellung
Auszug Referenzen (2)
"Herr K. war für uns als Externer Berater tätig. Seine Schwerpunkte waren: AML, Transactions Monitoring, KYC, Market Abuse."
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.
Prozessoptimierung, Compliance management
"[...] [...] worked as a consultant at Deutsche Börse AG from July 15 - October 18, 2019 supporting the Customer Onboarding & Maintenance project."
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
SAP CRM, Kanban (Softwareentwicklung), SCRUM, SAP Fiori, Jira, Six sigma, Business Analyse
Ich biete
Projekt‐ & Berufserfahrung
4/2021 – offen
Tätigkeitsbeschreibung
Project language: German 30% / English 70%
In this project I am helping a small Start-Up in their solution engineering to create and market artificial intelligence based Anti Money Laundering and Fraud solution covering payments screening and transactions monitoring. My responsibilities were as follows:
- Develop the business by helping prospects and leads understand the company solution and processes and make sure to identify their needs and problems
- Adapt to diverse client environments with their AI based AML product, technical and AML expertise e.g. Mapping of Money Laundering Red Flags with the Detection Algorithms, etc.
- Structure, manage and run the client integration projects to successful go lives
Compliance management, Presales
5/2020 – 6/2021
Tätigkeitsbeschreibung
Project language: German 50% / English 50%
In the Digitalisation Compliance project, processes in the Compliance department are digitised. One sub-project is the MAR (market abuse regulation) sub-project. My tasks were as follows:
- Impact and Risk Analysis for the Market Abuse Regulation and implementing Trade Surveillance Tool to fulfill the MAR requirements (Art. 16 Para. 2 MAR) in a project manager role
- Business Analysis, Requirements Management, Issues Tracking, System and UAT Testing of the Tool
- Data mapping between Actimize Cloud Surveillance Tool and Union Investment's internal systems such as Charles River (CR IMS) and Fix Gateway; Data Quality Validation
- Order Lifecycle Process Study and Analysis within the group. Identifying and describing various complex scenarios such as Plain Vanilla, Split and Merge Order Lifecycles.
- Creation of Alert Investigation Best Practices and Internal Procedures and training of users on trade surveillance scenarios and tool usage
- Acting as Interim Trade Surveillance Officer investigating Alerts and Creating STORs for BaFIN
Compliance management, Wertpapierhandel
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.
Prozessoptimierung, Compliance management
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
SAP CRM, Kanban (Softwareentwicklung), SCRUM, SAP Fiori, Jira, Six sigma, Business Analyse
5/2018 – 5/2019
Tätigkeitsbeschreibung
Project language:German
The Deutsche Bank Privat und Firmenkunden AG had an issue. After it bought Postbank AG, it needed now to integrate its systems to achieve a coherence. I was hired by Postbank's Financial Crime Compliance Unit to help them with this coherence task in particular with a focus on Trade Surveillance and Market Abuse. My tasks were as follows:
- Business and Gap Analysis between Postbank's and Deutsche Bank's (Berlin) Trade surveillance systems, policies and procedures.
- Providing directions and best practices on the unification and reconciliation of the gaps and differences.
- Acted as an Interim Compliance Officer, investigating Trade Surveillance Alerts and Filling in Suspicious Trade and Order Reports (STORs) to BaFIN.
- Acted as Business Analyst in changing current configurations, thresholds and settings for Trade Surveillance Tool at Postbank end.
- Provided Subject Matter Training on Market Abuse and Trade Surveillance to both Postbank Compliance as well as Berlin-Based Deutsche's Compliance Unit.
Compliance management
12/2017 – 2/2018
Tätigkeitsbeschreibung
Project language:German
Paradise Papers was out and one of bank's Financial Crime Supervision Units wanted these leaks investigated and impact on the bank assessed. Bank commissioned one of top boutique US Compliance Advisories which in turn hired me on a freelance basis as Financial Crime Expert and Project Co-Lead. My tasks were as follows:
- Coordinate the team of 5 and act as Co-Lead in absence of Project Lead.
- Investigate Paradise Papers and also other Leaks if relevant.
- Define Visual Link Analysis Need/Concept and support in developing a tailored Search Database for Internal DB investigators.
- Work 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
Projektleitung / Teamleitung (IT)
10/2016 – 5/2018
Tätigkeitsbeschreibung
Project language: German 50% / English 50%
Commerzbank has just started this very large Global Roll-Out Project in 21 Locations of the world, when I joined as Actimize Expert and Project Business Lead. My Tasks were as follows:
- Business Analysis and Requirements Management for Anti Money Laundering (AML) / Know Your Customer (KYC) / Customer Due Diligence (CDD), Counter Terrorist Financing (CTF), Name Screening domains
- UAT Testing, Test Cases and Test Acceptance
- Data Mapping between Actimize AML/KYC Case Management Tool and Bank's internal databases e.g. CORE, etc. Business Sided Data Quality Validation
- Workshops with Internal Compliance Analysts (Tool Training)
- Implementation of complex Workflow/Permissions/Restrictions in the tool
- Integration of DJ Factiva Listen (Sanctions, PEPs, SIP/SIE, Adverse Media/State Owned Companies (SOC) & Internal Lists.
- Impact assessment of Information Sharing Pre-Studies - done by external legal firms in reference with new GDPR Regulation - on the Name Screening (KYC) Tool subject of worldwide roll-out.
- Supervising Project Team, Project Effort and Quality
- Proxy Product Owner taking part in Daily Stand-Ups and providing business view during sprints and retrospectives. Acting as Scrum Master in his absence.
- Providing Expert advice in building Compliance Target Operating Model and building bridges between various Compliance Tools.
- Providing Expert advice on Corporate Customer On-Boarding Process and in particular Pre-Compliance / Post-Compliance Process Step Implementations.
Business Analyse, Projektleitung / Teamleitung (IT)
5/2016 – 9/2016
Tätigkeitsbeschreibung
Project language: English
Danske had an issue in regards with Data Mapping between external trade surveillance vendor tool and internal systems. I joined in as Market Abuse / Trade Surveillance Expert and solved their data mapping problem. My tasks were as follows:
- Business Analysis, Gap Analysis and Data Analysis
- Data Mapping and Data Validation between Actimize Tool and Internal Trading and Order Management Systems (Equities: Fidessa, Fixed Income: ION, Tradeweb, Bloomberg) and Market Data Provide OneTick by OneMarketData
Business Analyse
4/2016 – 12/2016
Tätigkeitsbeschreibung
Project language: German 50% / English 50%
- Impact Analysis (MADII/MAR, WPHG, MACOMP) of Market Abuse Regulation on the Bank and its Trading Business
- Business Analysis, Requirements Management, Testing in JIRA
- Data Mapping Actimize Cloud Surveillance Tool vs. ING DIBA Order Management System
- Trade Surveillance Best practices, Internal Procedures and Policies, Training of Compliance Analysts
Business Analyse
3/2016 – 2/2017
Tätigkeitsbeschreibung
Project language: German 50% / English 50%
- Impact Analysis (MADII/MAR, WPHG, MACOMP) of Market Abuse Regulation on the Bank and its Trading Business
- Business Analysis, Requirements Management, Testing in Jira
- Data Mapping Actimize vs. Kordoba vs. Market Data Vendor IDC
- Trade Surveillance Best practices, Internal Procedures and Policies, Training of Compliance Analysts
- Supervising Project Team, Project Effort and Timelines
Business Analyse, Projektleitung / Teamleitung (IT)
4/2014 – 3/2016
Tätigkeitsbeschreibung
Project language: English
- Business Analysis Trade Surveillance / Market Abuse / Insider Trading
- Business Analysis Energy Trading Compliance
- Business Analysis Anti Money Laundering - Suspicious Activity Analysis
- Business Analysis Know Your Customers - Name Screening / Transaction Screening / Customer Scoring
- Business Analysis Sales Practices & Suitability - MiFiD
Business Analyse, Compliance management
10/2013 – 4/2014
Tätigkeitsbeschreibung
Project language: German
- Business Analysis and Requirements Management for the needs of ETF Lab's Portfolio Management and ETF Trading Departments.
- Calculation of Net Asset Values for the existing and new Exchange Traded Funds (ETFs) by Deka as well as creation of internal reports for Funds Oversight and Controlling department.
- Testing of the Reports Data Quality
- Creation of external regulatory Reports such as Key Investor Information Document (KIIDs), etc.
Business Analyse
4/2013 – 9/2013
Tätigkeitsbeschreibung
Project language: German
- Asset Valuation / Funds Valuation and valuation of derivatives such as Credit Default Swaps, etc. in SimCorp Dimensions, Bloomberg, etc.
- Business Analysis for the Basel II Projekt
- Project Coordination
Business Analyse
12/2011 – 3/2013
Tätigkeitsbeschreibung
Project language: German
- Securities Trading FX/CFDs/Futures/Stocks (Wertpapierhandel) with various Platforms e.g. DB Autobahn, TickTS, Bloomberg, etc.
- Monitoring of the pricing in the FXTrader Chart and Trading tool
- Responsibility for Trading Books in the evening session
- Supervising and Training other junior traders
- Business Analysis, Requirements and Testing of a new Client Trader Behavior Analysis Tool for Cash Flow Trading Business.
Wertpapierhandel
7/2007 – 6/2009
Tätigkeitsbeschreibung
- Customer Relationship Management
- Customer Service
- Cross Selling Deposits, Credit Cards, Internet Banking & other Banking Services
CRM (Customer Relationship Management)
Zertifikate
Ausbildung
(M.Sc.)
Ort: Magdeburg
(B.Sc.)
Ort: Tbilisi
Qualifikationen
Über mich
Persönliche Daten
- Deutsch (Fließend)
- Englisch (Muttersprache)
- Russisch (Fließend)
- Georgisch (Muttersprache)
- Europäische Union
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