Transformation Project: Compliance and AFC Strategy

Client:
German branch of a Swiss private bank and asset management firm

Role:
AFC Expert

Main tasks:

• Functional interface to the compliance project, including preparation of project documents such as front-to-end process designs
• Implementing the Three Lines of Defense model
• Conducting AFC-related gap analyses and assessing regulatory requirements
• Developing the management of the European Compliance Group, including internal written policies
• Supporting the training of compliance specialists
• Assisting in the creation of the annual risk analysis (money laundering/terrorism financing)