Project Leader / Business Analyst / Compliance Expert /Fachlicher Berater

10/2019 – 4/2020

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

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

1/2019 – 6/2019

- Impactanalyse/Gap-Analyse nach MAR (Market Abuse Regulation)
- Transaktionsüberwachung nach MAR / Doppelkunden Transaktionsanalyse / STORs (Verdachtsmeldungen) für BaFin
- Erstellen von Testfälle & Testing
- Erstellen von Fachkonzepte/Leitfaden/Präsentationen
- Schulung - MAR Szenarien & Best Practices

Compliance management, Business Analyse

5/2020 – offen

Im Projekt Digitalisierung Compliance werden prozesse des Fachbereichs Compliance digitalisiert. Ein Teilprojekt ist dabei das Teilprojekt MAR (Marktmissbrauchsregulierung). Folgende Leistungen:
- Betroffenheits- und Risikoanalyse
- Begleitung Systemeinführung Trade Surveillance Tool zur Erfüllung der MAR Vorgaben (Art. 16 abs. 2 MAR) in Projektleitender und/oder -koordinierender Funktion
- Mitarbeit im internen Projekt MAR mit Mitarbeitern aus Compliance, Handel und IT
- Direkt Zusammenarbeit mit dem Hersteller des Trade Surveillance Tools bei Parametrisierung und Konfiguration
- Durchführung von Systemtests sowie Dokumentation sowohl für 1st Line als auch für 2nd Line
- Erstellung von Dokumentationen zu typischen Fallkonstelationen und Anwendungshinweisen
- Ggfs. temporäre operative Bedienung des Systems (für 1st Line) und Übergabe an interne Mitarbeiter
- Erstellung von Schulungsunterlagen
- Erstellung Interner Richtlinien und Arbeitsanweisungen für die Bedienung des Tools

Wertpapierhandel, Compliance management

10/2019 – 4/2020

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

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