Compliance Advisory and Consulting
Capital Markets Compliance
I provide comprehensive advisory on capital markets compliance: risk assessments, policy updates, monitoring and reporting – so that regulatory requirements are reliably met.
Anti Money Laundering
In addition to my core services, I offer project management, audit support and process optimisation in compliance and AML – with the goal of sustainable, efficient solutions tailored to your needs.
Project Management
My anti-money laundering services include risk analysis, AML system optimisation and support with suspicious activity reporting – so that your processes comply with legal requirements.
Regulatory and Professional Qualifications
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 form
Contact me
Thank you for your interest. The fields marked as required on the right help me process your enquiry quickly.
Location
- Frankfurt
- Germany
- Europe
- Remote