Compliance & Risk

AML/KYC

• Design and review of policies and procedures on AML/KYC topics
• Perform customer due diligence, money laundering and sanctions case management, analysis of complex client structures incl. unusual transactions and beneficial ownership situations (CDB)

REGTECH

• Establish concepts for the digitization and optimization of your processes (e.g. digital onboarding, transaction monitoring, automated controls)

MARKET CONDUCT, ANTI-BRIBERY AND CORRUPTION

• Design and review policies and procedures on employee and market conduct matters (e.g. gifts, personal account dealing and market abuse regulation, insider trading and anti-bribery/corruption)
• Advice on handling existing and potential conflicts of interest

RISK AND CONTROL FRAMEWORKS

• Design and review of compliance control frameworks (ICS)
• Support on yearly compliance reporting, company risk assessments and activity planning to Executive Committees and Board of Directors
• Perform pre-audits and health checks