Projects in the environment of MiFID II / MiFIR, regardless of whether existing activities are to be changed or new business areas opened up, are co-determined by a wealth of regulatory requirements from MiFID II / MiFIR and their compliance should be ensured as early as possible during implementation. I provide project support and help to ensure that compliance requirements are addressed in good time so that the project is not delayed shortly before acceptance by expensive and time-consuming improvements. I know about the regulatory risks and address them. I know the scope for manoeuvre and help to make use of it.
Typical tasks in the project:
Examination of the Target Operating Model (TOM) with regard to compliance-relevant issues.
Advising the project team on the implementation of regulatory requirements.
Inclusion of best practice, regulatory comments and expert opinions.
Review of existing work instructions and recommendations for extensions.
Participation in the relevant team meetings, on request assumption of the sub-project management for the Compliance department.
On request, implementation of selective training courses.
Checking the embedding of the processes in existing structures and normal operation.
Reporting of the project progress to the project management.