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.