As an Interim Senior Compliance Officer, I led the integration and implementation of compliance strategies in accordance with stringent European regulations, including WpHG, KWG, MaComp, and MIFID II. My responsibilities extended beyond implementation; I rigorously evaluated and refined organizational processes to address operational deficiencies and enhance compliance effectiveness. I provided strategic guidance to various business units and employees on critical compliance issues, including customer protection, conflict of interest mitigation, and the accuracy of customer-related communications and marketing materials.

I played a key role in establishing and developing robust monitoring and control measures to ensure adherence to regulatory requirements and internal standards. Conducting regular and ad-hoc training sessions was integral to my responsibilities, focusing on national and legal obligations while promoting continuous professional development. Additionally, I designed processes to manage potential conflicts of interest, liaised with regulatory authorities, and prepared comprehensive incident and KPI reports for senior management. My efforts also facilitated cross-functional collaboration, both nationally and internationally, to ensure a cohesive compliance framework across the organization.

Compliance and Regulatory Tasks

1. Proper fulfillment and implementation of compliance tasks based on local European legislation (such as WpHG, KWG, MaComp, MIFID 2).
2. Corresponding with regulatory authorities and external/internal auditors; handling relevant inquiries.
3. Establishment, implementation, and further development of monitoring/control measures to ensure compliance with the defined principles and precautions.
4. Conduct regular and ad-hoc training on compliance with national/legal requirements; review relevant content and further development as well as training measures.
5. Preparation of regular incident and KPI reporting for senior management.

Organizational and Process-Related Tasks

1. Implementation, evaluation, and monitoring of organizational processes and measures to eliminate deficits in the operational areas.
2. Advising and supporting the various business and corporate units, including employees, particularly on customer protection (e.g., customer information, marketing materials, dispatch, avoidance of conflicts of interest, customer classification, reporting).
3. Design and communicate processes to avoid/manage potential conflicts of interest.
4. Cross-functional collaboration with colleagues within Compliance as well as on a national and international level.
5. Implementation and execution of regular meetings and collaboration with business.