Compliance Specialist, Anti Money Laundering, KYC, PEP, Embargo, On Boarding Clients, Off Boarding Clients, Bundesbank, FINMA, BAFIN, GwG, Transparenz
Aktualisiert am 16.08.2023
Profil
Freiberufler / Selbstständiger
Remote-Arbeit
Verfügbar ab: 03.09.2023
Verfügbar zu: 100%
davon vor Ort: 75%
AML
Finance Compliance
Trading Manager
Foreign Exchange
Precious Metals Trading
KYC
Agile Scrum
African Markets
Emerging Markets
English
fluent
German
fluent
Dutch
Grundkenntnisse
French
Grundkenntnisse
Polish
Grundkenntnisse
Afrikaans
fluent

Einsatzorte

Berlin (+200km) Frankfurt am Main (+200km) Zürich (+200km) Vienna (+200km) Munich (+200km) Warsaw (+200km)
Deutschland, Österreich, Schweiz
I am 100% flexible and mobile. The listed cities are not exclusive.
möglich

Projekte

4 Jahre 3 Monate
2019-07 - heute

COE AML Regulatory

COE AML Regulatory ? Wholesale Banking ? Regulatory Reporting Expertise AML (Compliance) & KYC Signatory
  • Regulatory Monitoring of wholesale banking client pertaining to KWG24§
  • Regulatory Monitoring of WB in CH, LU, AT for AML topics
  • Verifying Bundesbank updates in terms of large Credits & syndicated loans (KNE/ GvK)
  • Liaising with global PAM´s for all Bafin and BUBA related reporting?s across AML
  • Ensuring ING´s compliance regarding all KWG24§/AML stipulations
  • Liaising with KYC Teams in Switzerland, Luxembourg, Austria, Belgium and Netherlands regarding AML monitoring?s
  • Sanctions and Embargo KYC controlling
  • Signatory KYC CDD, CDD & EDD
  • FATCA & CRS controlling of Onboarding CDD
  • Risk assessment with MLRO on PEP and Elevated and High-Risk Status Clients
  • Ad hoc projects arising from regulatory exposures in Wholesale Banking
  • Internal and External Audit facilitations and contact person for Auditors
ING-Diba AG
Frankfurt (Germany)
6 Jahre 8 Monate
2012-06 - 2019-01

Emerging Markets sub fund Structure

Senior Consultant
Senior Consultant
Emerging Markets sub fund Structure. (SICAVUCITS Structure) and a Fixed Income and FX G20 Balanced Fund. (Real Money and Family Office Network) inclusive of BA Analyst AML Reporting (Compliance- KWG24§, BaFin & CCSF)
  • Liaising with African Development Bank to align to their project in Pan African Fixed Income, identifying best local and global benchmark aligned on an electronic trading tool
  • Execution of FI and FX Trades- booking to Murex and reconciliation to sub Funds
  • Implementing a pipeline for new products (identifying viable new African markets) and complying with the UCITS fundamentals for sub funds
  • Driving the implementation of various regulatory processes with reference to CSSF, Bafin and Reserve Bank AML regulations
African Alliance Advisory & RVC Capital & Advisory S.a.r.L
Luxembourg & Johannesburg
1 Jahr 3 Monate
2011-04 - 2012-06

Introduction of Sub-Saharan African and Asian Markets to the risk portfolio

Executive Director -Markets
Executive Director -Markets
  • Successfully achieved trading PNL budget
  • Introduction of Sub-Saharan African and Asian Markets to the risk portfolio
  • Project Management with the IT department to enhance the electronic platform for EM (NDF´s), reducing duplication across Credit Suisse IB and PB
  • Automated the order management process for exotic instruments (NDF´s) within FICC
  • Played a key role in market, trading Emerging Market currencies and market making to hedge funds and Swiss portfolio managers. Asian and African Markets
  • Developing strong relationships with clients, both locally and globally, liaising with Central Banks, in particular the South African Reserve Bank and BIS
  • Participated in the country and credit analysis of African, Latam and Asian Countries and Corporates
  • Managed the proprietary risk in FX and FI across emerging markets (Latin, Asian and African) and precious metals
  • Reporting of risk to stake holders of the business daily, weekly and monthly
  • Hedging of global risk exposure in EM and Developed Markets (cross currency)
  • Sales Trading all FX and Commodities to Swiss and German Real Money
  • Liaising with internal algorithm programmers to include EM on a liquidity base for the internal portfolios
Credit Suisse AG, Zurich
1 Jahr 3 Monate
2009-10 - 2010-12

Pricing, Market Making and Risk Management for products from emerging countries

Executive Director-Financial Markets
Executive Director-Financial Markets
Senior Sales-Trader (Deputy Head), responsible for pricing, market making and risk management for emerging market products (fixed income and currencies)
  • Managed global books for EM currencies (Latin America, Eastern Europe, Asian and African)
  • Price making in RUB NDF´s with UBS Moscow?s (Spot- separate books) and TRL (Spot and FWDs Turkey)
  • Price Maker and Price Taker for all EM products and Commodities to Funds
  • Managing proprietary risk to enable a 24-hour execution for specific clients
  • Worked with IT tools and improve pricing and risk management systems specifically for NDF´s
  • Focus to transform the business to making UBS an e-commerce lead
  • Managed customer relationships directly and on boarding of new clients with near to a trillion dollars under management. Daily interaction with risk management
UBS Investment Bank Zürich
1 Jahr 1 Monat
2008-09 - 2009-09

Implementation of a new middle and back office process

Executive Director-Financial Markets
Executive Director-Financial Markets
  • Achieved trading budget within first 6 months of the year of GBP 9 million trading NDF´s. (KRW, BRL)
  • On boarding, new clients
  • Worked closely with the Options desk managing Deltas risk
  • Implementing a new middle and back-office process, replacing an outdated spreadsheet program to monitor risk and netting of NDF payments upon fixing dates in conjunction with IT and the Tokyo office
  • Assisting the team where required for Eastern Europe and African currencies including Turkey
  • Using Brazilian onshore EFT for reduction of NDF risk (Arbitrage & risk management on shore/offshore)
  • Actively trading the Asian NDF´s and Spot
Nomura Investment Bank London
6 Jahre 8 Monate
2001-06 - 2008-01

Formalized and staffed the London Trading Desk for all EM Products in London

various
various
2001 - 2004 
Senior EM Sales- Trader New York

2004 - 2008
Principal-Head of Emerging Markets Sales &Trading

  • Formalized and staffed the London Trading Desk for all EM Products in London
  • Spearheaded the successful growth of the local franchise network in conjunction with the sales team
  • Implemented Advantage risk management system to manage day to day risk in cross currency swaps with tenors exceeding 5 years including vanilla Bonds (local currency bonds)
  • Liaising with country and counterparty risk managers to adhere to risk parameters globally
  • Focused market making and revenue production on Sub-Saharan and Pan African markets
  • Responsible for the global Trading Portfolio in all Emerging Markets
  • Prior role: Senior Trader and Head Trader in New York. - Eastern European, LATAM, Asia and Africa
  • Client relation and marketing driven in partnership with the BoFA Sales team globally
  • Co-lead on risk management in the e-commerce domain
  • Co-lead on markets commentary globally for clients and internal distribution
  • Served on the following committees: Reputational Risk Committee, Risk Committee
  • Managing the CNY, TWD and KRW NDF´s in a global book
Bank of America NA

Aus- und Weiterbildung

  • Successful graduation of the Bank Trainee Program of Standard Bank
  • Institute of Bankers of South Africa
  • Bank Apprenticeship joint venture Standard Bank & Deutsche Bank
  • Internal and external courses on Technical Analysis and Risk Management
  • Internal and external education on People Management and Leadership
  • Internal and Internal Compliance Trainings (ACAMS AML certificate)
  • Series 7 (SEC), ACAMS, ICA (International Compliance Association)
  • Reuters, Bloomberg, Murex and various vendor platforms
  • Military Training (Basic and Officers 12-month course in South Africa)

Kompetenzen

Top-Skills

AML Finance Compliance Trading Manager Foreign Exchange Precious Metals Trading KYC Agile Scrum African Markets Emerging Markets

Produkte / Standards / Erfahrungen / Methoden

Profile
Financial Markets Professional with more than 25 years of experience in trading and sales in FX, Commodities and Emerging Markets. Outstanding track record in trading/sales, managing risk, and maintaining growth in Revenue across FX spot, forwards, NDF´s, Derivatives & Emerging Markets. Adjacent in-depth experience in Compliance related environment (AML, Reputational Risk, KYC).

Competencies
  • Experienced financial markets expert with excellent knowledge of FI and Forex Markets (derivatives, options and non-deliverable forwards, forwards and spot), Emerging Markets, Commodities, Pricing and E-commerce
  • Global Team Player, Best Practice Leader, Coaching and Mentoring
  • Task and goal oriented, Revenue Production and good technical and fundamental analysis
  • Excellent knowledge & experience in market analysis and market commentary for internal and external partners with specific focus on risk reward and ´total return` prognosis
  • E-commerce focused for client delivery, pricing and Risk (NDF´s, Derivatives, Commodities & EM). MS Excel/ Python
  • Hands-on experience and knowledge with FINMA and BAFIN compliant trading, Dodd Frank, MiFID, BASEL II&III, FCA/FSA and SEC regulatory environment. FCA accredited Person
  • Fluent in English, German and Afrikaans. Basic knowledge in Dutch and French
  • Worked in New York, London, Frankfurt, Singapore, Johannesburg and Zurich with client interactions
  • Hands-on experience in compliance with specific reference to Market Manipulations, AML, KYC and Reputational Risks

Earlier Roles

1991 - 1993
Role: Junior Trader, Johannesburg and Frankfurt
  • Equities and Foreign Exchange (Junior role on the relevant trading desks)

1994 - 1996
Role: Trader and Desk Manager Standard Bank New York
  • Employed to launch the New York FX desk

1996 - 2000
Role: Trader and Desk Manager ABSA Bank
  • Employed to launch the New York FX desk

2000 - 2001
Role: Treasury Management Systems London and Singapore
  • Business and System development for an online FX order system

Branchen

Finance, Banking, Insurance Companies

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