Compliance Advisory and Consulting
Compliance as a success factor
At JS Consulting GmbH, we specialize in Compliance and AML Advisory Services, offering tailored solutions for
- Capital Markets Compliance
- Anti-money laundering measures
- Prevention of terrorism financing
- Fraud prevention
- Anti-corruption strategies
- Prevention of financial crime
- Project Management
- Audit Services
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).
Anti-Money Laundering and Counter-Terrorism Financing
Risk Analysis
We support the execution of comprehensive risk analyses and the regular monitoring of your compliance programs. We ensure that risks are identified, assessed, and addressed with appropriate mitigation measures at an early stage. Through continuous reviews, we guarantee the effectiveness of your systems and their alignment with current regulatory requirements.
Updating and Development of Policies and Procedures
We provide support in regularly reviewing and updating policies and procedures to meet current regulatory requirements and prevent compliance vulnerabilities.
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.
KYC and Due Diligence Services
We offer comprehensive support on KYC and due diligence services, including thorough monitoring of business relationships and third parties to identify and mitigate money laundering risks. Our approach is backed by robust compliance measures and proactive outreach to ensure all identification details are accurately verified, enabling seamless risk management and regulatory compliance.
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.
Central Unit
We support the establishment and further development of the central AML office, including coordination between various departments and external partners.
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.
Additional Services and Offerings
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.
Support for Year-End and Security Trading Act Audits
We provide comprehensive support for year-end and WpHG (German Securities Trading Act) audits – both during the audit process and in addressing identified findings. Our experts help you efficiently manage audit observations and implement sustainable improvements.
Process Optimization in Compliance and AML
We analyze existing processes in the areas of compliance and anti-money laundering, identify optimization potentials, and develop practical solutions. Our goal is to make your workflows more efficient while fully meeting regulatory requirements.
Internal Audit
We offer comprehensive support in planning and conducting internal audits to ensure compliance with legal and internal requirements. Our expertise helps you identify risks, optimize processes, and strengthen the effectiveness of your internal control system.
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
- DORA (Digital Operational Resilience Act)
Contact us
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Location
- Frankfurt
- Germany
- Europe
- Remote
