Compliance Specialist, Anti Money Laundering, KYC, PEP, Embargo, On Boarding Clients, Off Boarding Clients, Bundesbank, FINMA, BAFIN, GwG, Transparenz
Aktualisiert am 16.08.2023
Freiberufler / Selbstständiger
Verfügbar ab: 03.09.2023
Verfügbar zu: 100%
davon vor Ort: 75%
Finance Compliance
Trading Manager
Foreign Exchange
Precious Metals Trading
Agile Scrum
African Markets
Emerging Markets


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.


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
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

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)



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

Produkte / Standards / Erfahrungen / Methoden

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).

  • 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


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