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Project Leader / Business Analyst / Financial Crime Expert /Fachlicher Berater

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  • 13.07.2021

Kurzvorstellung

Wir bauen Brücken zwischen Technologie und Business. Wir können motivieren, klar kommunizieren, konzipieren, dokumentieren, analysieren, Konflikte auflösen und VORAN kommen.

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

Prozessoptimierung, Compliance management

"[...] [...] 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

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

Ich biete

  • Business Analyse
  • Compliance management
  • CPRE / IREB
  • Presales
  • Projektleitung / Teamleitung (IT)
  • Projektmanagement - Softwaretool-Beratung
  • Projektmanagement - Softwaretool-Schulung
  • Projektmanagement - Vorstudien / Machbarkeitsstudien
  • Prozessoptimierung
  • Requirement Analyse
  • SCRUM
  • Wertpapierhandel

Projekt‐ & Berufserfahrung

Lead Solution Engineer / Business Consultant Artificial Intelligence - Financial Crime (Part-Time/On-Demand)
Kundenname anonymisiert, Frankfurt
4/2021 – offen (4 Monate)
Finanzdienstleister
Tätigkeitszeitraum

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

Eingesetzte Qualifikationen

Compliance management, Presales

Project Lead and Functional Consultant - "Digitization Compliance/Financial Crime" (Part-Time)
Kundenname anonymisiert, Frankfurt am Main
5/2020 – 6/2021 (1 Jahr, 2 Monate)
Finanzdienstleister
Tätigkeitszeitraum

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

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

Prozessoptimierung, Compliance management

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

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

Expert Advisor & Interim Compliance Officer - 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

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.

Eingesetzte Qualifikationen

Compliance management

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

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

Eingesetzte Qualifikationen

Projektleitung / Teamleitung (IT)

Proxy Product Owner & Project Business Lead - 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

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.

Eingesetzte Qualifikationen

Business Analyse, Projektleitung / Teamleitung (IT)

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

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

Eingesetzte Qualifikationen

Business Analyse

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

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

Eingesetzte Qualifikationen

Business Analyse

Business Analyst & Project Co-Lead - Market Abuse / Trade Surveillance - Financial Crime
BNP Paribas (Consorsbank), Nürnberg
3/2016 – 2/2017 (1 Jahr)
Banken
Tätigkeitszeitraum

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

Eingesetzte Qualifikationen

Business Analyse, Projektleitung / Teamleitung (IT)

Business Analyst - 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

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

Eingesetzte Qualifikationen

Business Analyse, Compliance management

Business Analyst - Investmentfonds (ETFHandel) - Reporting/Meldewesen (Festanstellung)
DEKA(ETFlab), München
10/2013 – 4/2014 (7 Monate)
Finanzdienstleister
Tätigkeitszeitraum

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.

Eingesetzte Qualifikationen

Business Analyse

Busienss Analyst - Asset Valuation in SimCorpDimensions - Reporting / Meldewesen (Festanstellung)
Talanx(Ampega Asset Management), Köln
4/2013 – 9/2013 (6 Monate)
Versicherungen
Tätigkeitszeitraum

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

Eingesetzte Qualifikationen

Business Analyse

Trader FX&Derivate - Securities Trading / Wertpapierhandel (Festanstellung)
FXdirekt Bank AG, Oberhausen
12/2011 – 3/2013 (1 Jahr, 4 Monate)
Banken
Tätigkeitszeitraum

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.

Eingesetzte Qualifikationen

Wertpapierhandel

Relationship Manager - Private Banking/Retail Banking (Festanstellung)
Kundenname anonymisiert, Tbilisi
7/2007 – 6/2009 (2 Jahre)
Banken
Tätigkeitszeitraum

7/2007 – 6/2009

Tätigkeitsbeschreibung

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

Eingesetzte Qualifikationen

CRM (Customer Relationship Management)

Zertifikate

Certified Professional for Requirements Engineering (CPRE) vom IREB
Juni 2019
Certificate of Completion: IT Security Foundations - Core Concepts
November 2018
Certificate of Completion: GDPR Compliance Essentials
Juni 2018
Certificate Of Completion: Microsoft 365 Achieving GDPR Compliance
Mai 2018
Actimize Self-Study Course: AML/KYC, Currency Transaction Reporting (CTR), FATCA
Mai 2014
Actimize Self-Study Training: Energy Trading Compliance (ETC), Conflicts of Interest (COI)
Mai 2014
Actimize Self-Study Training: Card Fraud, Deposit Fraud, E-Payment Fraud, Employee Fraud, Online Banking Fraud, Remote Banking Fraud, Insider Fraud, Commercial Payments Fraud
Mai 2014
Certificate of Completion: CFA Level I Prüfung Bestanden
Juni 2011
ACCA Level I Certificate
Januar 2009

Ausbildung

International Applied Finance
(M.Sc.)
Jahr: 2011
Ort: Magdeburg
International Economics
(B.Sc.)
Jahr: 2008
Ort: Tbilisi

Qualifikationen

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

Über mich

PMO, Projektmanager, Product Owner, Business Functional Lead, Lead BA, Fachlicher Projektleiter, Business Oriented Business Analyst, Fachilcher Business Analyst, Tester, Testmanager, CPRE (Certified Professional for Requirements Engineering)

Persönliche Daten

Sprache
  • Deutsch (Fließend)
  • Englisch (Muttersprache)
  • Russisch (Fließend)
  • Georgisch (Muttersprache)
Reisebereitschaft
Europa
Arbeitserlaubnis
  • Europäische Union
Profilaufrufe
6656
Berufserfahrung
9 Jahre und 6 Monate (seit 01/2012)
Projektleitung
3 Jahre

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