Compliance Advisory and Consulting
Compliance as a success factor
As your reliable partner in the field of compliance, we offer a variety of services to ensure that your company meets all regulatory requirements and minimizes risks.
Service Portfolio Compliance
Risk Analysis (MaRisk/MaComp)
Through the application of quantitative analysis methods, we assess and prioritize potential compliance risks, utilizing qualitative assessment criteria to ensure a comprehensive evaluation of compliance risk.
Updating and Development of Policies and Procedures
We assist you in the development and implementation of policies and procedures that comply with regulatory requirements and support your business goals.
Monitoring and Review
We provide regular monitoring and review of your compliance programs to ensure they are effective and compliant with current regulations.
Internal Investigations
We support you in conducting internal investigations in cases of suspected misconduct or non-compliance with regulations.
Gap Assessments
We review existing documentation and structures within your company concerning regulatory requirements such as WpHG, KWG, DepotG, MaRisk, and MaComp. In doing so, we identify areas for improvement and offer sustained support for implementation projects.
Compliance Reporting
We assist you in creating compliance reports for internal and external stakeholders (ad-hoc and regular).
Project Management
We offer comprehensive project management services to ensure the smooth implementation of compliance initiatives and projects. Our experienced project managers oversee all aspects of the project lifecycle, from planning and execution to monitoring and reporting. With our project management expertise, we help you achieve your compliance objectives efficiently and effectively.
With Expertise Towards Success
- WpHG (Securities Trading Act)
- KWG (German Banking Act)
- MiFID II (Markets in Financial Instruments Directive II)
- MaComp (Minimum Requirements for the Compliance Function and Additional Conduct, Organization, and Transparency Obligations for Securities Services Enterprises)
- MaDepot (Minimum Requirements for the Business Organization of Securities Services Enterprises)
- MaRisk (Minimum Requirements for Risk Management)
- DepotG (Depot Law)
- KAGB (Capital Investment Code)
- GwG (Money Laundering Act)
- Interpretation and Application Standards
Compliance as a success factor
Our consultancy services extend across various domains, where we possess extensive experience and expertise.
- Anti-money laundering measures
- Prevention of terrorism financing
- Fraud prevention
- Anti-corruption strategies
- Prevention of financial crime
Service Portfolio
Anti-Money Laundering and Counter-Terrorism Financing
Sanctions and Embargoes
Assistance with the implementation of adequate systems for checking sanction and embargo lists. Evaluation and analysis of hit results. Preparation of risk assessments and recommendations for compliance with legal requirements.
Customer Identification
Development and implementation of effective procedures for identifying customers in accordance with anti-money laundering regulations. Verification of customer data and ensuring compliance with Know Your Customer (KYC) principles.
Transaction Monitoring
Review of transaction monitoring rules and thresholds. Processing and improvement of monitoring systems to identify suspicious transactions. Development and implementation of measures for risk mitigation.
Reporting
Preparation of money laundering reports in accordance with legal requirements. Reporting to the Financial Intelligence Unit (FIU) and management on money laundering and terrorism financing risks. Analysis of transaction data and preparation of reports to support compliance decisions.
AML/TF Projects
Execution of projects in the area of anti-money laundering (AML) and terrorism financing (TF). Development and implementation of strategies to enhance compliance programs. Training and awareness-raising of staff on AML/TF risks and procedures.
Due Diligence
Conducting due diligence examinations in the context of business relationships and transactions. Monitoring and reviewing third parties and business partners for money laundering risks. Implementation of measures for risk mitigation and compliance monitoring.
Contact us
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Location
- Frankfurt
- Germany
- Europe
- Remote
