Currently working as an analyst for RegIntelligence.
01/2024 – 12/2024
Development of a proof of concept
Investment management company, USA
Feasibility analysis for migrating investment compliance from MIG21 to Charles River IMS
Support for the vendor in adapting the supplied LawCards®
Analysis of data requirements
09/2022 – 06/2023
Capture of investment guidelines in ACL FondsDesigner® and implementation in Charles River Compliance
Investment management company, Zurich
Implementation of regulatory and contractual pre-trade and end-of-day compliance
Review of vendor-supplied LawCards® for completeness and accuracy, including feedback and corrections
10/2021 – 05/2022
Implementation of a new front-office system on Bloomberg™ AIM, investment compliance workstream
Asset manager, Munich
Implementation of regulatory and contractual pre-trade compliance
Support with migration planning
01/2021 – 10/2021
Design, implementation and testing of automated workflows in Averroes FondsDesigner®
Fund services pricing workflow for an asset manager, Frankfurt
Fund launch workflow for a custodian bank, Frankfurt
01/2019 – 12/2020
Implementation of a new back-office investment compliance system on Fortia Innova
Depositary, Frankfurt/Paris
Implementation and testing of regulatory and contractual rules
Assessment of Innova functionality against regulatory and contractual rules; submission of functional requirements to software development; design and testing of workarounds and fixes
Training of self-learning software modules
Submission of data requirements, coordination of data delivery and testing
Advice to project management and support in designing the migration process
Knowledge transfer to the client's team members and coaching
10/2018 – 01/2019
Business analysis and preparation of business requirements for triparty collateral management
Depositary, Frankfurt/Paris
09/2018 – 10/2018
Project and resource planning and business analysis for the introduction of a new asset management compliance tool
Depositary, Luxembourg
09/2017 – 08/2018
Expansion of Bloomberg™ AIM usage following a merger, lead consultant for the investment compliance workstream
Asset manager, Düsseldorf and Frankfurt, approximately 200 mandates and funds
Target operating model design and implementation in CMGR
Guidance and supervision of the programming team, rule coding and testing
Advice to project management, project planning and design
Knowledge transfer to the client's team members
04/2016 – 12/2017
Global implementation of Bloomberg™ CMGR across 16 locations, lead consultant for the investment compliance workstream
Asset manager, Düsseldorf, approximately 2,000 mandates and funds
Target operating model design and setup in CMGR, advice to project management and design of the migration process
Definition, implementation and testing of selection criteria for the main asset types
Rule coding and testing: selection and setup of frequently used and standard rules as templates for bulk coding
Guidance and supervision of the programming team, rule coding and testing
Knowledge transfer to project and client team members
11/2015 – 04/2016
Implementation of a new front-office system in Bloomberg™ AIM, lead consultant for the investment compliance workstream
Asset manager, Düsseldorf, approximately 300 mandates and funds
Target-state design and setup in Bloomberg™ CMGR
Guidance and supervision of the programming team, rule coding and testing
Advice to project management, project planning and design
Knowledge transfer to project and client team members
03/2014 – 10/2015
Implementation of the new BlackRock® Aladdin® front-office system, representing compliance within the project
Asset manager, Frankfurt
Preparation of regulatory requirements and implementation planning
Regions: Germany, Luxembourg, Ireland, Austria, Taiwan and Singapore; covering both UCITS and AIFs
Advice to project management
Support in designing the migration process
12/2012 – 03/2014
Introduction of Charles River IMS, compliance area lead
Asset manager, Düsseldorf
Concept and design of the future setup for pre-trade and ex-post compliance
Creation of the contractual rule base in Charles River
Implementation of regulatory requirements (UCITS)
Development of contractual rules and support for migration activities
Training and coaching of internal staff in rule coding and testing
Submission of data requirements, coordination of data delivery and testing
Advice to project management and support in designing the migration process
Design of an extension to the rule repository tool to capture Charles River rule assignments to fund restrictions
Ongoing rule maintenance after go-live
02/2011 – 12/2012
Upgrade of Charles River Compliance from V8 to V9 and migration from MIG21 Compliance to Charles River Compliance
Asset manager, Frankfurt
Concept and design of the future setup, introduction of business and rule-coding standards and naming conventions for efficient handling of large volumes (over 1,000 accounts)
Development of reusable rule components in Charles River using a modular approach
Submission of data requirements, coordination of data delivery and testing
Assessment of Charles River functionality against regulatory rules; submission of functional requirements to Charles River product development; design and testing of workarounds
Development of regulatory rules (German UCITS, Luxembourg UCITS, non-UCITS Spezialfonds regulations and Hong Kong)
Advice to project management and support in designing the migration process
Support for migration activities, training of rule programmers and testing
Issue resolution with IT, compliance, portfolio management and institutional client relationship management teams
11/2010 – 01/2011
Selection process for compliance systems
Asset manager, Frankfurt
Assessment of potential future setups and comparison of Charles River and MIG21 Compliance
Recommendations for the optimal system and process setup
10/2010
Feasibility assessment of coverage of functional guidelines
Asset manager, Switzerland
Comparison of Charles River Compliance and Bloomberg™ CMGR
Analysis of three representative sets of investment guidelines, including regulatory requirements
07/2010 – 11/2010
Update of contractual rules for institutional mandates and investment funds
Asset manager, Frankfurt
Charles River Compliance
Extension of ex-post rules to ex-ante checks
Preparation of technical requirements documents
Testing and go-live
Training of portfolio managers in Charles River Compliance
02/2009 – 06/2010
Design and implementation of pre-trade compliance for institutional mandates and investment funds
Bloomberg™ CMGR, asset manager, Frankfurt
Analysis and interpretation of contractual and regulatory restrictions
Development and implementation of regulatory rules
Full coverage of approximately 800 accounts
Implementation of approximately 3,000 rules
Definition of internal standards (asset class definitions within CMGR, etc.)
Setup and maintenance of lists and groups (e.g. lists and currency groups)
Testing and go-live
Production support
Evaluation of product functionality, including feedback to developers
Functional and organisational oversight and scheduling of project and related activities
Training of internal staff for the handover of rule coding
11/2007 – 01/2009
Design and implementation of pre-trade compliance for institutional mandates
Institutional asset manager, Frankfurt
Charles River Compliance
Analysis and interpretation of contracts, rule implementation, testing and go-live
Functional and organisational oversight and scheduling of subprojects and related activities, including data and technical requirements and coordination with portfolio management and compliance
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