References Business Risk & Compliance

Busi­ness Con­ti­nui­ty Ma­nage­ment (BCM)

Introduction of busi­ness con­ti­nui­ty ma­nage­ment (BCM) – well-equipped for identified crisis scenarios

Customer: Swiss asset ma­na­ger

• De­fi­ni­ti­on of the BCM strategy in accordance with the company risk profile
• Identification of critical processes and resources
• Definition of crisis organisation and critical process recovery plan for identified crisis scenarios
• Implementation of BCM tests and training

Ac­coun­ting & Reporting System

Development of a da­ta mart – controllable credit risks through daily limit monitoring

Customer: Swiss insurer

• Sub-project management for requirement definition in line with a previously introduced SOX solution
• Design and configuration of a prototype
• Evaluation and preparation of a decision-related recommendation

Sys­tem for mapping and ma­nage­ment of the internal control system – state-of-the-art ICS

Customer: Swiss reinsurer

• Framework design for internal control system in accordance with SOX, including management processes and management reporting
• Solution design and implementation

Design of internal control system – up­date of ICS in accordance with current requirements

Customer: Swiss retail ­bank

• Analysis of existing ICS regarding compliance with the requirements of the Swiss Federal Banking Commission (EBK) and the Swiss Code of Obligations (OR)
• Development of an ICS framework in accord with operational risk management and process excellence

Busi­ness ana­ly­sis for introduction of ge­ne­ral led­ger – definitive migration and feeder system requirements

Customer: Swiss bank

• Sub-project management of business analysis and process design. Specification of general ledger system requirements from a migration and feeder system perspective
• Design of migration and implementation process
• Design and performance of acceptance tests

Introduction of core banking system – integration of accounting systems and ensuring auditing and financial statement capability

Customer: Swiss bank

• Sub-project management for the introduction  and acceptance of a core banking system from a legal reporting and accounting perspective
• Design, migration and acceptance tests in relation to accounting system integration
• Establishment of a quality and risk management system to ensure auditing and financial statement capability of the core banking system

Redesign of a ma­nage­ment ac­coun­ting sys­tem – compliance with regulatory requirements

Customer: Swiss branch of an international in­vest­ment bank

• Ana­ly­sis of the existing ma­nage­ment ac­coun­ting sys­tem
• Harmonisation with the requirements of the parent company and the regulatory requirements of the Swiss Federal Banking Commission (EBK) and IFRS

Development of a da­ta ­mart – controllable credit risks through daily limit monitoring

Customer: Swiss bank

• Project management, de­sign and development of a data mart in consideration of all transactions on the asset side and derivatives with an implicit credit risk
• Daily generation of a cluster risk report for Article 21 legal reporting

Ri­sk Ma­nage­ment and Con­trol­ling/Com­p­li­an­ce

COO consulting mandate

Customer: Swiss bank

The scope of the mandate comprised advising the COO of an international booking centre with the aim of affording the COO greater insight into the further development and optimisation of overall bank business processes and infrastructure in addition to the formulation of specific requirements from a local perspective. Primary focal points were account management processes, tax agreements needing consideration and customer data and document management within the context of regulatory requirements.

Performance of strategic IT risk assessment – where are our risks in terms of IT and how can we address such?

Customer: European Central Bank

• Performance of an IT risk assessment with the IT management and the involvement of the group risk management
• Formalisation of risks using a standard framework
• Identification and planning of improvement measures

De­fi­ni­ti­on and establishment of an IT risk frame­work – definitive risk management responsibilities and processes
Customer: Swiss bank

• De­fi­ni­ti­on of the IT risk management process, organisation and controlling
• Embedding within the operational risk management framework
• Introduction of a suitable methodology for threat, risk and claims management

Performance of periodic IT risk as­sess­ments – “mis­si­on cri­ti­cal” systems under control

Customer: Various banks and insurers

• Performance of periodic IT risk audits for defined business-critical systems
• Establishment of key risk indicators (KRIs) as an early warning system
• Derivation of commensurate action

Coordination of business processes, organisational structures and application support for an international booking centre

Customer: Swiss bank

Ana­ly­sis, de­sign and implementation of the various regulatory requirements, specifically in relation to the Anti-Money Laundering Directive and EU savings taxation and comprehensive integration of the client investment profile across all business units.