Project Leader / Business Analyst / Compliance Expert /Fachlicher Berater

5/2018 – 5/2019

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

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

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.

Projektleitung / Teamleitung (IT), Business Analyse

5/2016 – 9/2016

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

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

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

Projektleitung / Teamleitung (IT), Business Analyse

4/2014 – 3/2016

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

Compliance management, Business Analyse

10/2013 – 4/2014

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

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

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

- Customer Relationship Management
- Customer Service
- Cross Selling Deposits, Credit Cards, Internet Banking & other Banking Services

CRM (Customer Relationship Management)