Belgium
With over a decade of experience in the financial industry, I have honed a robust skill set, primarily focused on Compliance and Risk management. I have also gained valuable expertise in project management, IT migration, the establishment and execution of control measures, Business and Functional analysis and team leadership. Compliance and Risk Management: I possess an in-depth understanding of industry-specific regulations and standards, enabling me to develop and oversee rigorous compliance procedures. My experience extends to actively participating in risk management projects, encompassing the identification, evaluation, and mitigation of financial, operational, and regulatory risks. Project Management: My project management capabilities are underpinned by my ability to plan, execute, and oversee complex projects from inception to completion while adhering to established timelines and budgets. I have successfully led intricate IT migration initiatives, coordinating cross-departmental efforts to ensure a seamless and uninterrupted transition. Control Measures: In the realm of control measures, I have designed and implemented monitoring and compliance mechanisms to ensure the reliability of financial operations. I have also overseen both internal and external audits, ensuring adherence to prevailing regulations. Team Leadership: My ability to lead and motivate teams has been pivotal in achieving our objectives and fostering the professional growth of my team members. My management approach cultivates a collaborative work environment where efficiency, innovation, and skill development are highly valued. My effective communication skills and a proactive problem-solving approach have been pivotal in my professional journey. From the outset of my career, I have consistently prioritized the fusion of precision, teamwork, and respect as key pillars in my work ethos.
In this role, my objective is to assist clients migration and to develop new services and products within the Bank offer.
The main purpose of the function is to provide support, advice and guidance on financial markets and instruments regulations, deontology, whistleblowing, anti-bribery matters and fiscal reporting. I also actively contribute to the approval process of new products/services, as well as significant changes to existing ones. As Regulatory Compliance Specialist, I bring my expertise to the business and ensure that the bank’s practices comply with the above-mentioned matters and local/internal policies and, more in particular, provide daily support with regard to the responsibilities of those matters by: • Monitoring the regulatory requirements and the Group's procedures and rules; • Providing answers to advice and information requests; • Preparing answers to information requests of the authorities, of the Group and of internal and external auditors; • Drafting periodical reports to the Group; • Handling and follow-up of specific and more general projects and processes in an independent way; • Identifying and documenting regulatory risks and developing controls; • Drafting of procedures and operational guidelines that must be put in place or adapted to comply with new regulations; • Conducting trainings and controls.
In the framework of the Bank Core System Migration (Avaloq), my role is to supervise and perform business and functional analysis to ensure delivery of all requirements. Thereafter, I work with the provider to implement those and try to find solutions when requirements are not implementable as such. Once developments have been done, I elaborate a testing plan and work with Testers to ensure quality of delivery. My responsibilities include two domains: 1) Control which includes all Private Banking first line controls (MiFID, AML, Portfolio Restrictions, Payments, MAD) 2) Cost & Fees which includes client’s tariffication for transactional and periodical fees + Broker fees
As a part of the First Line Control department, the primary objective of my mission was to comprehensively document the processes within Private Banking. This involved defining the inherent risks associated with each process and creating a detailed mapping of the various controls across the entire bank to effectively mitigate these risks. Key Achievements: • Effective Stakeholder Coordination: I successfully facilitated collaboration with process stakeholders, ensuring their insights and feedback were integrated into the documentation process. • Timely Process Validation: The processes I documented were promptly reviewed and validated by their respective owners, ensuring a streamlined and efficient workflow. • Team Training: I played a pivotal role in training a newly formed team of three members, equipping them with the knowledge and skills required for seamless Business As Usual (BAU) operations. • Enhanced Risk Matrix and Template: I contributed to the enhancement of the risk matrix and template, which significantly improved the accuracy and comprehensiveness of risk assessment. • Gap Identification and Remediation: My efforts led to the identification of gaps in the existing processes, allowing for the development and implementation of targeted remediation actions to bolster the control framework.