Zurich, Switzerland
Experienced Head of Risk with a demonstrated history of working in the financial services industry. In-depth knowledge in Business Risk, Risk Control, Operations, Records Management and Archiving. Highly motivated, pragmatic, results-oriented and delivery-focused person with experience in leading specialized teams. Specialties: Finance, Banking, Credit Card Industry, Operations
UBS Card Center, Glattbrugg - Leading a team of Business & IT Risk Control specialists - Creating Risk Reports / Risk Updates for the Management - Preparing Risk Meetings (LRCC, Risk Board) - Leading the implementation and maintenance of the UCC Control Framework - Consulting and supporting the IT and Business partners in Risk Issues - Defining Information Security Standards in the role as Information Security Officer (ISO) - Responsible for the implementation of a BCM and evacuation organization - Functional Management for Records Management, co-lead for the Records Management Program Main Achievements - Built a new Risk Control team - Implemented a Risk Control Framework and Risk Reporting - Responsible for a successful Internal Audit with rating “effective” - Reorganized the Policy Framework - Strengthened Risk Culture and Risk understanding - Implemented an Operation Risk Management Process - Established a new BCM site and evacuation procedure - Implemented UBS security standards in the UCC Building - Evaluated Records Management gaps, established a program for the remediation and co-lead the program
- Leading a team of 8 specialists in the areas of Risk Management and Processes & Tools - Producing monthly Risk Reports for the Management - Preparing and leading the quarterly RCC LAC - Support the Management in all Risk questions - Consulting, supporting and issuing tracking of the locations abroad in the areas of Risk Reporting, Audit, SII, Processes, IRMS, Controls - Representative of Global Emerging Markets in the working groups KYC@UBS, KYC-WG, PKR-new - Supporting front staff in Risk Management (pending item, Cross-border, KYC, AML, PKR, Suitability, Processes and general questions) Main Achievements - Improved the Risk Ranking from the last ranking to the best within Global Emerging Markets - Identified, assessed and suggested personal measures for staff who did not adhere to internal and external guidelines - Implemented Process & Risk Specialist within BS LAC - suggested and implemented several process improvements
Functional Management for: - Qualified Intermediary - Comiciliary Companies - European Savings Tax - Know your Client - Retained Mail - Scanning - Document Management Processing - Named and Numbered Accounts - Applications (Electronic Archives, Retained Mail, CQUE, DocuStore, EBES)