Compliance

• Ongoing monitoring of compliance with regulatory requirements across the banking group from the perspective of the 2nd Line of Defense (2nd LoD)
• Regular review of business units to ensure adherence to external and internal policies (MiFID, AML, etc.)
• Assessment of regulatory compliance within the business areas
• Support for risk managers in implementing regulatory updates and best practices in systems, with the goal of optimizing global compliance standards and strengthening the control environment
• Review of compliance for all documents and brochures, and assessment of the suitability of investment products for customers' risk profiles
• Review of regulations in target markets with respect to sustainability and appropriateness
• Risk analysis and preparation of reports for department management
• Definition of minimum standards regarding compliance policies
• Participation in group projects for the continuous improvement of relevant processes and procedures
• Participation in initiatives to establish new methods and standards
• Maintenance of the compliance risk management framework, including coordination of global compliance programs and regulatory audits
• Collaboration with the lines of defense within the group.

Compliance Analyst, Market Regulations

Business Risk Analyst, Compliance

Business Risk Analyst – Compliance & Suitability

Compliance Officer

Business Risk Analyst, Bank Regulation – 2nd LoD