• analysis of regulatory and stakeholder requirements in relation to the record keeping of telephone and electronic communication according to MiFID article 16(7) and §83 WpHG
• Establishing trading floors with specific rules in relation to record keeping
• Project-Coordination, management of appropriate documentation and reporting to management
• Preparation of trainings and policies for affected employees
• establishing controls in relation to record keeping

• Implementation of relevant processes based upon group procedures
• maintaining policies and procedures
• documentation of controls
• preparation of trainings in reldation to Fraud, Conduct and Trading
• Updating Risk Analysis
• Coordination of some projects / initiatives

• Support in the daily business von WpHG department and MaRisk department
• Supporting in performing controlls according to control plan
• Preparation of the WpHG- and MaRisk-Compliance report to the management
• Support with the migration due to Merger/Acquisition
• Support in AML-compliance

Result: documented controls

• Preparation of process descriptions and process flow charts for the handover of tasks and responsibilities
• Main contact for data delivery packages in relation to Fund Accounting Data
• Continuous implementation of regulatory requirements by EU, CSSF and FCA in relation to Fund-Administration of AIF´s
• Preparation of an internal Service-Level Agreements including RACI-Matrix for the clarification of internal responsibilities and governance

• Coordination of the preparation of Annual Reports and Semi-Annual Reports of UCITS and AIFs from various jurisdictions (Luxembourg, Germany, UK, Italy, France)
• Coordination of the required documents for the funds' auditors and ensuring a smooth flow of data to the auditor
• Stakeholder Management of all those involved (especially the auditors) as part of the audit of the funds in order to carry out and finalize the audit
• Implementation of new legal requirements and participation in further projects in the area of ?Fund Administration ? Annual Reports?
• Training of employees in the department ?Fund Administration ? Annual Reports?
• Development of a procedure for invoice-processing for the department ?Fund Administration ? Annual Reports?; as well as regular management reports through Power BI and Power Query 

• Main contact for the data delivery packages to tax service providers, in order perform the preparation of Tax Declarations (FATCA/CRS, DAC6, DAC7, Corporate Income Tax, Net Wealth Tax, Municipal Business Tax)
• Support in recording and implementing requirements (requirements engineering) and stakeholder management
• Continuous adjustment of the service level agreement (SLA) between the tax service provider and the AIFM, in order to maintain the oversight functionality and record all changes in writing
• Implementation of KPI reporting for the service provider's tax services

• Analysis of the initially existing processes for comparison with the regulatory requirements (GAP analysis)
• Collecting and implementing requirements for the future process
• Drafting of the contract and service level agreement (SLA) with the tax service provider
• Creation of process descriptions and process flow charts to clarify the process flows and the integration of the tax service provider.
• Creation of additional reports for the purpose of information analysis to the tax service provider

• Requirements Analysis of all stakeholders involved and joint creation of current and future process flows
• Review of the existing contracts with the service providers active at the time
• Systematic comparison of offers from different tax service providers and Management Reporting
• Draft the contract and service level agreement with the tax service provider and preparation of the termination of the old contracts
• Communication with stakeholders to carry out future monitoring actions
• Coordination of adjustments in the accounting of the AIFs after the consultation with the tax service provider and Fund Accounting department
• Implementation of the tax service provider's invoicing into internal control systems

Result:

Tax compliance through a new tax service provider and compliance with regulatory deadlines

•  Gap analysis between existing and required process diagrams
• Coordination with internal stakeholders to create new processes and analyze existing processes
• Creation of process flow charts according to BPMN using the yED software
• Documentation of changes and proper storage of the deliverables

Result: 

Process flow charts according to BPMN

• Carrying out control measures to check securities transactions and protect customer financial instruments (single officer)
• Determination of measures to correct potential deficiencies
• Involvement into the Product Governance Process (NPI)
• Support in the preparation of compliance reports according to BT 1.2.2 MaComp
• Development of a procedure for the identification of potential conflicts of interest

Result:

Control documentation of the conducted controls and tracking of measures to eliminate potential deficiencies

• Technical development of a risk analysis for the WpHG compliance department to review the securities business and the protection of customer financial instruments (single officer) through a gap- analysis of the legal regulations with the precautions already in place
• Development of a control plan in accordance with the WpHG for the systematic monitoring of securities business and the protection of customer financial instruments

• Classification of the risk analysis tool as IDV according to BAIT 7.13

• Standardization of monitoring procedures
  

• Communication with stakeholders to continuously adjust risk analysis and control plans

Result:

• Risk analysis and associated monitoring plans with outcome documents
• new procedure for documenting surveillance activities

• Development of a business case and a Feasibility Study regarding the feasibility and costs of integrating the Fund Administration of the Asia-Pacific region into the responsibility-scope of the Europe region
• Review of existing contracts with service providers and auditors in Asia-Pacific
• Creation of process descriptions and process flow charts for employees in the Asia-Pacific region to harmonize procedures
• Training of employees and discussion of process descriptions
• Preparation of a global rate card regarding the audit costs of funds with the auditor (including Europe and Asia-Pacific)

Result:

Finalized internal restructuring of Fund Administration department; global rate card for the audit costs of funds

• Trade processing (middle office) and settlement of financial transactions according to KWG and WpIG, as well as the timely provision of trade confirmations in the area of ??stocks and bonds
• Transction monitoring and solving issues in relation to transactions
• Further development and writing of process descriptions, as well as training of new employees
• Creation of regular reports and KPIs
• Technical setup of FIX connections

• Technical conception and creation of an Operational Management System for the trading department of an Investment Firm based on MS Excel and VBA
• Communication with stakeholders to ensure smooth data transfer
• Communication with the custodians and accounting to ensure the fit-for-purpose and the need for changes to the system
• Integration into the downstream MiFIR reporting to fulfill legal reporting obligations

Result:

Excel sheets to optimize the instruction process via CSV and SWIFT to the custodians in order to carry out securities settlement in the CREST, DTCC, T2S and OneClear stream environment, among others

• Consultation with the AML-Officer on legal and regulatory requirements in the context of institutional clients
• Further development of internal AML standards
• Supporting the AML-Officer with the risk analysis
• Carrying out controls and determining suitable, appropriate, and effective measures
• Carrying out KYC onboarding checks during operational setup of clients and brokers

Result:

AML checklist for the onboarding

• Consultation with the WpHG-Compliance-Officer on legal and regulatory requirements; in particular the implementation of MaComp
• Further development of internal WpHG-Compliance standards
• Supporting the WpHG-Compliance-Officer with the risk analysis according to WpHG
• Carrying out KYC onboarding checks during operational setup of clients and brokers

Result:

Meeting all regulatory requirements

• Analysis of the legal requirements according to CRR and CRD IV
• Collecting the requirements of all relevant stakeholders
• Technical conception and creation of a risk controlling system in compliance with CRR and CRD IV to determine reportable positions as well as profits and losses from stock trading based on the reports of the custodians (major Dutch bank)
• Integration into the downstream reporting system to fulfill legal reporting obligations

Result:

Excel sheet, which imports data using VBA and displays KPIs

• Technical conception of the classification of customers in the area of trading according to the WpHG customer classification and MiFID II
• Preparation of an overview matrix of the necessary documentation and work steps for customer onboarding and regular KYC checks for the Equity Trading department of an Investment Bank

Result:

An overview matrix that shows in detail which documents and work steps are necessary for proper KYC review

• Trade processing (Middle Office) of security transactions according to the KWG and WpHG, as well as the timely provision of trade confirmations for trades in ??stocks and bonds (as employee)
• Transaction monitoring and solving issues in relation to transactions
• Initiation and collateralization of securities lending
• Contact person for international customers
• Creation of process descriptions and training of new employee

Result: Trade-processing without any issues

• Supporting national and international investors, fund managers, as well as capital management companies in the area of ??custody / custodian and custodian bank
• Coordination of corporate actions, FX transactions, loans, collateral and payment transactions
• Recording and coordinating customer complaints and settling claims
• Close collaboration with other stakeholders to ensure comprehensive customer support

Result: Improving client satisfcation for institutional Depot- & Custody Customers

• Regular testing of the Collateral-Management-System before and after the Release
• Continuous improvement of the work instructions for carrying out testing
• Coordination and communication in order communicate the bugs to developers

Result:

Ensuring the operational readiness of the Collateral Management-System

•  Daily monitoring of default risk and subsequent collateralization of OTC derivatives, repos and securities lending
• Booking cash- & securities-transactions and checking settlement status
• Daily reconciliation of collateral positions with customers and counterparties
• Continuous improvement of work instructions for collateral management, as well as training of new colleagues

Result: Compliance of EMIR-Regulation; collateralization of OTC-derivatives