WpHG Compliance / Project Management / Requirements Engineer / Business Analyst / Operational Support / Fund Administration / PMO
Aktualisiert am 16.04.2024
Profil
Referenzen (6)
Freiberufler / Selbstständiger
Remote-Arbeit
Verfügbar ab: 15.04.2024
Verfügbar zu: 100%
davon vor Ort: 100%
Regulatory Compliance
Wertpapiergeschäft
Fondsadmin
Digital Operational Resilience Act
MiFID
ESG
EMIR
Reporting
Securities Settlement
Börsenhandelsysteme
Prozessdokumentation
Prozessautomatisierung
Project Controlling
Goal Directed Project Management
Geschäftsprozessanalyse
Requirements Engineering
Projektmanagementoffice
PMO Support
Projektleitungs-Assistenz
Fondsstammdaten
Germany
Muttersprache
Polish
Muttersprache
English
business fluent
French
Grundkenntnisse

Einsatzorte

Einsatzorte

Frankfurt am Main (+100km) Cologne (+100km) Stuttgart (+100km) Hamburg (+100km) Munich (+200km)
Deutschland, Schweiz, Österreich
möglich

Projekte

Projekte

11 months
2023-06 - 2024-04

PMO for the internal restructuring of tasks for an AIFM

PMO Investran MS Visio efront
PMO
PMO for the internal restructuring of tasks of an Investment Management Company / AIFM in relation to Fund Accounting and Financial Statements of Alternative Investment Funds (AIF)
  • 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


Result:

Internal transfer of tasks and responsibilities; including training of employees




MS Office 365 Tools MySS (State Street) MS Visio Process Flow
Investran MS Visio efront
KVG
Frankfurt am Main
3 years 6 months
2020-11 - 2024-04

Fund-Administration ? Annual Reports

Business Analyst; Operational Support VBA Atlassian Confluence Investran ...
Business Analyst; Operational Support
Business Analysis and Operational Support in the department ?Fund-Administration ? Annual Reports? of an Investment Management Company / AIFM
  • 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 


Result:

  • Efficient audit of the funds by the auditor
  • Compliance with regulatory requirements
  • efficient handling of auditors' invoices

VBA Atlassian Confluence Investran MS Office 365 Tools MySS (State Street) Power BI
KVG
Frankfurt am Main
10 months
2023-03 - 2023-12

Control and monitoring of various tax services for AIF´s

PMO; Operational Support VBA Visual Basic Investran ...
PMO; Operational Support
Project Lead and Operational Support in relation to the control and monitoring of various tax services of a tax service provider for Alternative Investment Vehicles of an AIFM
  • 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


Result:

  • Improved data transmission of tax-relevant data to the tax service provider
  • updated service level agreements; regular KPI reporting

VBA Visual Basic Investran MySS MS Office 365 Tools MS Visio Process Flow
KVG
Frankfurt am Main
5 months
2023-02 - 2023-06

Project Management in the outsourcing of the DAC6 reporting for an AIFM

Project Lead; Business Analyst
Project Lead; Business Analyst
Project Management in the outsourcing of the DAC6 reporting of an Investment Management Company / AIFM to a tax service provider for Alternative Investment Funds (AIF)
  • 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


Result:

Successful outsourcing of DAC6 reporting and improved oversight functionality

MS Office 365 Tools MS Visio Process flow
KVG
Frankfurt am Main
1 year 2 months
2022-01 - 2023-02

Business Analysis for the preparation of an RFP for tax services

Business Analyst; PMO Atlassian JIRA MS Visio
Business Analyst; PMO
Business Analysis for the preparation of an RFP for tax services for Alternative Investment Funds of an In-vestment Management Company / AIFM and subsequent onboarding of the 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

MS Office 365 Tools MS Visio Process flow
Atlassian JIRA MS Visio
KVG
Frankfurt am Main
1 year 3 months
2021-06 - 2022-08

Carrying out control measures according to the WpHG

Operational Support MS Office Atlassian JIRA WP2 (dwpbank)
Operational Support
Operational support in carrying out control measures according to the WpHG in the WpHG-compliance department of a CRR institute (bank)
  • 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

MS Office Atlassian JIRA WP2 (dwpbank)
Bank
Frankfurt am Main
2 years 1 month
2020-08 - 2022-08

Business analysis for the development and implementation of a risk analysis

Business Analyst VBA Bloomberg Atlassian JIRA ...
Business Analyst
Business analysis for the development and implementation of a risk analysis and a monitoring plan according to WpHG in the WpHG-compliance department of a CRR institute (bank)
  • 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
  • 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

VBA Bloomberg Atlassian JIRA MS Office 365 Tools WP2 (dwpbank) Power BI
Bank
Frankfurt am Main
6 months
2022-01 - 2022-06

Business analysis and PMO in the internal restructuring

Business Analyst; PMO Atlassian JIRA MS Office 365 Tools MS Visio Process flow
Business Analyst; PMO

Business analysis and PMO in the internal restructuring of the Fund Administration department of an In-vestment Management Company to integrate the Asia-Pacific region into the responsibility of the Europe region
  • 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

Atlassian JIRA MS Office 365 Tools MS Visio Process flow
KVG
Frankfurt am Main
1 year 1 month
2019-04 - 2020-04

Conception and implementation of an Operational Management System (OMS)

Project Lead; Business Analyst (as an employee) Office 365 VBA
Project Lead; Business Analyst (as an employee)
Conception and implementation of an Operational Management System (OMS) in the securities processing of an Investment Firm
  • 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

Office 365 VBA
Investment Firm
Frankfurt am Main
1 year 1 month
2019-04 - 2020-04

Deputy AML-Officer of an Investment Firm

Deputy AML-Officer according to § 7 GwG (as an employee) Office 365 GwG
Deputy AML-Officer according to § 7 GwG (as an employee)

  • 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

Office 365 GwG
Investment Firm
Frankfurt am Main
1 year 1 month
2019-04 - 2020-04

Deputy WpHG-Compliance-Officer of an Investment Firm

Deputy WpHG-Compliance-Officer according to § 87 WpHG (as an employee) MS Office WpHG MaComp
Deputy WpHG-Compliance-Officer according to § 87 WpHG (as an employee)

  • 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

MS Office WpHG MaComp
Investment Firm
Frankfurt am Main
9 months
2019-04 - 2019-12

Implementation of a risk controlling system

Project Lead; Business Analyst (as an employee) VBA Office 365
Project Lead; Business Analyst (as an employee)

Implementation of a risk controlling system in the Equity Trading department of an Investment Firm
  • 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

VBA Office 365
Investment Firm
Frankfurt am Main
1 year 1 month
2017-10 - 2018-10

KYC overview matrix

Business Analyst (as an employee) MS Office
Business Analyst (as an employee)
KYC overview matrix for the Equity Trading department of an Investment Bank, in order to ensure smooth Client Onboarding
  • 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

MS Office
Private Bank
Hamburg
1 year 7 months
2015-10 - 2017-04

Test-Management for the Collateral-Management-System of a bank

Test-Manager (as an employee) MS Office marginsphere Acadia Margin Sphere ...
Test-Manager (as an employee)

  • 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

MS Office marginsphere Acadia Margin Sphere CMW
Bank
Frankfurt am Main

Aus- und Weiterbildung

Aus- und Weiterbildung

2 months
2022-04 - 2022-05

Business Analyst

Business Analyst (certified by ibo institute), ibo-institute
Business Analyst (certified by ibo institute)
ibo-institute
Business Analyst and Requirement Engineering
1 month
2021-01 - 2021-01

SCRUM Master and Product Owner

PSM I, PSPO I, Scrum.org
PSM I, PSPO I
Scrum.org
Professional Scrum Product Owner and Scrum Master
2 years 4 months
2012-08 - 2014-11

Business Administration

Master of Science, Friedrich-Schiller-University, Jena
Master of Science
Friedrich-Schiller-University, Jena

focus:

  • Accounting
  • Taxation 
  • Capital Markets

2 years 11 months
2009-08 - 2012-06

Economics

Bacherlor of Science, University of Cologne, Cologne
Bacherlor of Science
University of Cologne, Cologne

focus:

Capital Markets

Position

Position

  • Consultant
  • Project Lead & PMO
  • Requirements Engineer
  • Business Analyst
  • Operational Support

Kompetenzen

Kompetenzen

Top-Skills

Regulatory Compliance Wertpapiergeschäft Fondsadmin Digital Operational Resilience Act MiFID ESG EMIR Reporting Securities Settlement Börsenhandelsysteme Prozessdokumentation Prozessautomatisierung Project Controlling Goal Directed Project Management Geschäftsprozessanalyse Requirements Engineering Projektmanagementoffice PMO Support Projektleitungs-Assistenz Fondsstammdaten

Schwerpunkte

Professional / Technical focus
Experte
  • Several years of experience in the operational business of banks and Investment Management Companies
  • The focus is particularly on the areas of Fund-Administration, Securities-Compliance, Regulatory Compliance & Reporting, Securities Settlement & Clearing and Trading Operations.
  • Further experience in the areas of AML-Compliance, Collateral Management, Tax-Operations for Funds.
  • Methodical experience as Project Manager and PMO in order to implement topics in a structured and always very well documented manner.
  • Further experiences as a Business Analyst and Requirements Engineer, to analyze the causes of the problem and determine implementation requirements to resolve the problem.

Consultant with several years of experience in the operational business of banks and Investment Management Companies.

My focus as a consultant is Fund Administration (UCITS/AIF), Securities Compliance (WpHG), Regulatory Compliance & Reporting (DORA, SFDR, MiFID, CSDR, DAC6, etc.), Securities Operations and Trading Operations. I have further experience in the areas of AML Compliance, collateral management, FATCA/CRS and tax operations for funds.

Additionally, I have methodical experience as Project Manager in order to implement topics in a structured and always very well documented manner. Further experiences as a Business Analyst and Requirements Engineer, to analyze the causes of the problem and determine implementation requirements to resolve the problem.

Happy to support you.

Produkte / Standards / Erfahrungen / Methoden

Business Analyst
Experte
Waterfall Project Management
Fortgeschritten
Requirements Engineering
Fortgeschritten
Agile Project Management
Fortgeschritten
SCRUM
Fortgeschritten


Programmiersprachen

Power Query / Power BI
Fortgeschritten
VBA
Fortgeschritten
SQL
Basics

Buchhaltung

Fund Accounting UCITS / AIF
Experte

Steuern / Tax

Fund Tax Operations
Fortgeschritten

Anlage- & Vermögensberatung

Fund Administration
Experte

Zahlungsverkehr & Transaktionen

Securities Settlement
Experte
Middle Office
Experte

Compliance & Sicherheit Finanzwesen

WpHG Compliance
Fortgeschritten
AML Compliance
Fortgeschritten
Regulatory Compliance
Fortgeschritten

Branchen

Branchen


Einsatzorte

Einsatzorte

Frankfurt am Main (+100km) Cologne (+100km) Stuttgart (+100km) Hamburg (+100km) Munich (+200km)
Deutschland, Schweiz, Österreich
möglich

Projekte

Projekte

11 months
2023-06 - 2024-04

PMO for the internal restructuring of tasks for an AIFM

PMO Investran MS Visio efront
PMO
PMO for the internal restructuring of tasks of an Investment Management Company / AIFM in relation to Fund Accounting and Financial Statements of Alternative Investment Funds (AIF)
  • 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


Result:

Internal transfer of tasks and responsibilities; including training of employees




MS Office 365 Tools MySS (State Street) MS Visio Process Flow
Investran MS Visio efront
KVG
Frankfurt am Main
3 years 6 months
2020-11 - 2024-04

Fund-Administration ? Annual Reports

Business Analyst; Operational Support VBA Atlassian Confluence Investran ...
Business Analyst; Operational Support
Business Analysis and Operational Support in the department ?Fund-Administration ? Annual Reports? of an Investment Management Company / AIFM
  • 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 


Result:

  • Efficient audit of the funds by the auditor
  • Compliance with regulatory requirements
  • efficient handling of auditors' invoices

VBA Atlassian Confluence Investran MS Office 365 Tools MySS (State Street) Power BI
KVG
Frankfurt am Main
10 months
2023-03 - 2023-12

Control and monitoring of various tax services for AIF´s

PMO; Operational Support VBA Visual Basic Investran ...
PMO; Operational Support
Project Lead and Operational Support in relation to the control and monitoring of various tax services of a tax service provider for Alternative Investment Vehicles of an AIFM
  • 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


Result:

  • Improved data transmission of tax-relevant data to the tax service provider
  • updated service level agreements; regular KPI reporting

VBA Visual Basic Investran MySS MS Office 365 Tools MS Visio Process Flow
KVG
Frankfurt am Main
5 months
2023-02 - 2023-06

Project Management in the outsourcing of the DAC6 reporting for an AIFM

Project Lead; Business Analyst
Project Lead; Business Analyst
Project Management in the outsourcing of the DAC6 reporting of an Investment Management Company / AIFM to a tax service provider for Alternative Investment Funds (AIF)
  • 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


Result:

Successful outsourcing of DAC6 reporting and improved oversight functionality

MS Office 365 Tools MS Visio Process flow
KVG
Frankfurt am Main
1 year 2 months
2022-01 - 2023-02

Business Analysis for the preparation of an RFP for tax services

Business Analyst; PMO Atlassian JIRA MS Visio
Business Analyst; PMO
Business Analysis for the preparation of an RFP for tax services for Alternative Investment Funds of an In-vestment Management Company / AIFM and subsequent onboarding of the 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

MS Office 365 Tools MS Visio Process flow
Atlassian JIRA MS Visio
KVG
Frankfurt am Main
1 year 3 months
2021-06 - 2022-08

Carrying out control measures according to the WpHG

Operational Support MS Office Atlassian JIRA WP2 (dwpbank)
Operational Support
Operational support in carrying out control measures according to the WpHG in the WpHG-compliance department of a CRR institute (bank)
  • 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

MS Office Atlassian JIRA WP2 (dwpbank)
Bank
Frankfurt am Main
2 years 1 month
2020-08 - 2022-08

Business analysis for the development and implementation of a risk analysis

Business Analyst VBA Bloomberg Atlassian JIRA ...
Business Analyst
Business analysis for the development and implementation of a risk analysis and a monitoring plan according to WpHG in the WpHG-compliance department of a CRR institute (bank)
  • 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
  • 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

VBA Bloomberg Atlassian JIRA MS Office 365 Tools WP2 (dwpbank) Power BI
Bank
Frankfurt am Main
6 months
2022-01 - 2022-06

Business analysis and PMO in the internal restructuring

Business Analyst; PMO Atlassian JIRA MS Office 365 Tools MS Visio Process flow
Business Analyst; PMO

Business analysis and PMO in the internal restructuring of the Fund Administration department of an In-vestment Management Company to integrate the Asia-Pacific region into the responsibility of the Europe region
  • 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

Atlassian JIRA MS Office 365 Tools MS Visio Process flow
KVG
Frankfurt am Main
1 year 1 month
2019-04 - 2020-04

Conception and implementation of an Operational Management System (OMS)

Project Lead; Business Analyst (as an employee) Office 365 VBA
Project Lead; Business Analyst (as an employee)
Conception and implementation of an Operational Management System (OMS) in the securities processing of an Investment Firm
  • 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

Office 365 VBA
Investment Firm
Frankfurt am Main
1 year 1 month
2019-04 - 2020-04

Deputy AML-Officer of an Investment Firm

Deputy AML-Officer according to § 7 GwG (as an employee) Office 365 GwG
Deputy AML-Officer according to § 7 GwG (as an employee)

  • 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

Office 365 GwG
Investment Firm
Frankfurt am Main
1 year 1 month
2019-04 - 2020-04

Deputy WpHG-Compliance-Officer of an Investment Firm

Deputy WpHG-Compliance-Officer according to § 87 WpHG (as an employee) MS Office WpHG MaComp
Deputy WpHG-Compliance-Officer according to § 87 WpHG (as an employee)

  • 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

MS Office WpHG MaComp
Investment Firm
Frankfurt am Main
9 months
2019-04 - 2019-12

Implementation of a risk controlling system

Project Lead; Business Analyst (as an employee) VBA Office 365
Project Lead; Business Analyst (as an employee)

Implementation of a risk controlling system in the Equity Trading department of an Investment Firm
  • 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

VBA Office 365
Investment Firm
Frankfurt am Main
1 year 1 month
2017-10 - 2018-10

KYC overview matrix

Business Analyst (as an employee) MS Office
Business Analyst (as an employee)
KYC overview matrix for the Equity Trading department of an Investment Bank, in order to ensure smooth Client Onboarding
  • 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

MS Office
Private Bank
Hamburg
1 year 7 months
2015-10 - 2017-04

Test-Management for the Collateral-Management-System of a bank

Test-Manager (as an employee) MS Office marginsphere Acadia Margin Sphere ...
Test-Manager (as an employee)

  • 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

MS Office marginsphere Acadia Margin Sphere CMW
Bank
Frankfurt am Main

Aus- und Weiterbildung

Aus- und Weiterbildung

2 months
2022-04 - 2022-05

Business Analyst

Business Analyst (certified by ibo institute), ibo-institute
Business Analyst (certified by ibo institute)
ibo-institute
Business Analyst and Requirement Engineering
1 month
2021-01 - 2021-01

SCRUM Master and Product Owner

PSM I, PSPO I, Scrum.org
PSM I, PSPO I
Scrum.org
Professional Scrum Product Owner and Scrum Master
2 years 4 months
2012-08 - 2014-11

Business Administration

Master of Science, Friedrich-Schiller-University, Jena
Master of Science
Friedrich-Schiller-University, Jena

focus:

  • Accounting
  • Taxation 
  • Capital Markets

2 years 11 months
2009-08 - 2012-06

Economics

Bacherlor of Science, University of Cologne, Cologne
Bacherlor of Science
University of Cologne, Cologne

focus:

Capital Markets

Position

Position

  • Consultant
  • Project Lead & PMO
  • Requirements Engineer
  • Business Analyst
  • Operational Support

Kompetenzen

Kompetenzen

Top-Skills

Regulatory Compliance Wertpapiergeschäft Fondsadmin Digital Operational Resilience Act MiFID ESG EMIR Reporting Securities Settlement Börsenhandelsysteme Prozessdokumentation Prozessautomatisierung Project Controlling Goal Directed Project Management Geschäftsprozessanalyse Requirements Engineering Projektmanagementoffice PMO Support Projektleitungs-Assistenz Fondsstammdaten

Schwerpunkte

Professional / Technical focus
Experte
  • Several years of experience in the operational business of banks and Investment Management Companies
  • The focus is particularly on the areas of Fund-Administration, Securities-Compliance, Regulatory Compliance & Reporting, Securities Settlement & Clearing and Trading Operations.
  • Further experience in the areas of AML-Compliance, Collateral Management, Tax-Operations for Funds.
  • Methodical experience as Project Manager and PMO in order to implement topics in a structured and always very well documented manner.
  • Further experiences as a Business Analyst and Requirements Engineer, to analyze the causes of the problem and determine implementation requirements to resolve the problem.

Consultant with several years of experience in the operational business of banks and Investment Management Companies.

My focus as a consultant is Fund Administration (UCITS/AIF), Securities Compliance (WpHG), Regulatory Compliance & Reporting (DORA, SFDR, MiFID, CSDR, DAC6, etc.), Securities Operations and Trading Operations. I have further experience in the areas of AML Compliance, collateral management, FATCA/CRS and tax operations for funds.

Additionally, I have methodical experience as Project Manager in order to implement topics in a structured and always very well documented manner. Further experiences as a Business Analyst and Requirements Engineer, to analyze the causes of the problem and determine implementation requirements to resolve the problem.

Happy to support you.

Produkte / Standards / Erfahrungen / Methoden

Business Analyst
Experte
Waterfall Project Management
Fortgeschritten
Requirements Engineering
Fortgeschritten
Agile Project Management
Fortgeschritten
SCRUM
Fortgeschritten


Programmiersprachen

Power Query / Power BI
Fortgeschritten
VBA
Fortgeschritten
SQL
Basics

Buchhaltung

Fund Accounting UCITS / AIF
Experte

Steuern / Tax

Fund Tax Operations
Fortgeschritten

Anlage- & Vermögensberatung

Fund Administration
Experte

Zahlungsverkehr & Transaktionen

Securities Settlement
Experte
Middle Office
Experte

Compliance & Sicherheit Finanzwesen

WpHG Compliance
Fortgeschritten
AML Compliance
Fortgeschritten
Regulatory Compliance
Fortgeschritten

Branchen

Branchen


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