Interim Manager/Independent Management Consultant (2024-10 – Present)
Focus on strategy, processes, compliance and risk management
- Increasing productivity in banking processes, including the integration of AI tools
- Bank and risk management, proper implementation of regulatory requirements
Member of the Executive Board, Chief Risk Officer (CRO) at SIGMA Bank AG (2022-10 – 2024-09)
Leadership of 14 + 6 employees, risk, compliance, legal and regulatory reporting. Volume: approx. CHF 1,200 m. total assets, CHF 3.5 b. AUM, approx. 120 employees (Group). From 04/2023 also responsible for SIGMA Kreditbank AG.
- Development/renewal of the risk function, incl. new target operating model and Reorganisation of ICAAP/ILAAP; approval by the supervisory authority without any findings
- Averting massive risks by establishing a new, Group-wide system of internal controls (ICS) and establishing of DORA-regulation
- Significant reduction of risks through compliance adjustments
- Successful conception of new financing channels (acquisition of customer funds via clients-platform to secure the bank's liquidity and ability to act)
- Group-wide ad hoc measures with regard to sanctions, embargoes and OFAC list, safeguarding the bank's interests under great regulatory pressure
- Ensuring targeted, interest-preserving communication with the supervisory authorities, in particular the FMA and FIU
- Establishment of a risk-orientated credit back office, incl. credit competence
- Responsible for establishing an alternative bank account for processing payment transactions, massively minimising the default risk of a payment service provider
- Successfully averted official measures following investigations by the public prosecutor's office due to possible data protection violations
Managing director and shareholder at InstiBase GmbH (2020-10 – Present)
- Utilisation agreements with over 100 investors and asset managers
- Tenders in various asset classes as well as for custody
Associated Partner, Financial Services, Risk and Compliance at Infosys Consulting GmbH (2019-08 – 2020-10)
Leadership of 4-5 employees, ressorts risiko, compliance. Volume: approx. EUR 1.5 m. delivery.
- Successful placement of market initiatives to improve AML/AML monitoring, development of project capacities in the areas of AML, BAIT and fraud detection
Senior Manager, Lead Compliance and Risk Management at FM² Consulting Group GmbH/FM2 Solutions GmbH (2015-07 – 2019-07)
Leadership of 30+ employees (project). Volume: approx. EUR 0.5 -1 m. delivery p.a., approx. EUR 1-1.5 m. p.a. participating acquisition.
- Resource-conserving and efficient group-wide implementation of the Market Abuse Regulation (MAD/MAR) for a major international German bank
- Targeted and efficient implementation of MiFID II/MiFiR relevant projects for a major German bank
- Strategic realignment of a "robo-advisor" for a large international asset manager, creation of an extended customer approach and customer loyalty
Associate Partner in the area "Finance, Risk & Compliance" at The Capital Markets Company GmbH (Capco) (2014-05 – 2015-06)
Leadership of 3 employees (direct), up to 10 (project). Volume: approx. EUR 2 m. delivery p.a.; approx. EUR 1 m. p.a. participating acquisition.
- Comprehensive advice to the management board of a large international retail bank/consumer financier on how to deal with and minimise specific compliance risks relating to credit fees; approach generated savings in the double-digit million-euro range
- Successful reorganisation of complaints management and compliance processes for this area
- Efficient takeover and adaptation of GWG processes based on monitoring for a large international bank
Senior Manager in the competence center "Gesamtbanksteuerung/bank management" at zeb/rolfes.schierenbeck.associates GmbH (2006-06 – 2014-04)
Leadership of 3-5 employees (direct), up to appx. 20 (project). Volume: ca. EUR 3-4 Mio. p.a. Delivery; ca. EUR 5 Mio. p.a. beteiligte Akquisition.
- Project management of various risk and compliance projects in all industry sectors (savings banks, large and private banks, co-operative banks, asset managers; national/international)
- Various accounting projects, including categorisation of risk indicators in the GAP framework
- Derivation of strategic action plans in wealth management
- Audit-proof validation and reorganisation of the largest German rating system
- Accompaniment of various acceptance procedures by BaFin/Bundesbank
Senior Consultant im Bereich Banking at HighQ-IT for the financial industry GmbH (2005-05 – 2006-06)
Leadership of 3-5 employees (project).
- Successful monitoring of the IRBA acceptance process at a specialised real estate bank
Senior Consultant in the area Financial Services at InSynCo AG (2004-11 – 2005-05)
Change of employment due to the insolvency of InSynCo AG.
- Project management of a methodology project in the area of "operational risks" for a major bank
- Collaboration on projects in the area of M&A
Consultant in the area Financial Institutions at CSC Ploenzke AG (2001-10 – 2004-11)
Leadership of 15-20 employees (direct, project), up to 750 FTE (overall project).
- Development and management of multinational teams in outsourcing projects. Successful avoidance of a contractual penalty of several million euros
- Efficiency increases and process improvement of the custodian bank function of a major international bank; realisation of a savings potential of 4 FTEs
