Project support

Fields of expertise

I offer project support and training for the following compliance areas:

(Other areas upon request)

Selected Projects
2020 - 2021Compliance support (topics: WpHG, BMR, PRIIPs, DFA) for the CIB operation of a European Bank
2019 - 2020Compliance support (topics: WpHG, FinVermV, KAGB, GDPR etc.) and project support in setting up a trading division at a fund bank
2018 - 2019PMO and compliance advisor for the establishment of the Wealth Management (UHNWI) division of a French bank in Germany
2017 and 2019Adaptation and update of a web-based training for the proof of competence of investment advisors, sales staff and employees in portfolio management according to WpHGMAnzV
2016Supervision of the audit in accordance with § 36 WpHG, in particular focus audit (BT8 MaComp, remuneration regulations
2016Team leader for the processing of a backlog for Trade Surveillance Alerts (insider trading and market manipulation), training and management of 6 employees, evaluation of the current status of the Smarts Broker system and its parameterisation
2015Supervision of the audit according to § 36 WpHG, in particular forensic focus audit on sales specifications, including data provision, internal and external communication, coordination with data protection, legal department, works council, IT and the business divisions, conducting interviews and evaluation of the final report
2013 - 2015Coordination of the outsourcing of compliance activities to the Risk Center Berlin, training and preparation of guidelines and manuals
2013Participation in the BaFin consultation on the introduction of control processes in algorithmic and high frequency trading, (RS 6/2013) and internal gap analysis of the existing control environment
2010 - 2017Technical support for transaction reporting in accordance with § 9 WpHG and Art. 26 MiFIR in the context of MiFIR implementation, assessment of the specifications, representation of the bank in the sub-working group on transaction reporting to the Germany Banking Association BDB and participation in the consultation of Level 2 and 3 documents with BaFin