Profilbild von Janina Schwarz Senior Compliance/AML Expert aus Berlin

Janina Schwarz

nicht verfügbar bis 31.05.2024

Letztes Update: 28.11.2023

Senior Compliance/AML Expert

Abschluss: Bachelor of Arts (Business Administration)
Stunden-/Tagessatz: anzeigen
Sprachkenntnisse: deutsch (Muttersprache) | englisch (verhandlungssicher) | französisch (Grundkenntnisse) | spanisch (Grundkenntnisse)

Dateianlagen

Janina-Schwarz-CV-FL-Oct-2023_281123.pdf

Skills

About me:
I have been Central Compliance Lead at Trade Republic for 1,5 years. I built up a team of 22 people establishing the Compliance function and relevant sub-streams such as AML, Complaints, Investment Compliance, Central Compliance, Monitoring and Testing, Data Privacy and Outsourcing. I have been registered as Compliance Officer (BaFin) and MLRO for Trade Republic. I took over the Lead of Central Compliance including Data Privacy, International Growth, and Outsourcing. I did build up the MaRisk Matrix as well as the AML Risk Assessment and compile annual required reports. I present over 12 years’ experience in consulting on financial markets and regulatory topics as well a recent brokerage and start up experience. 

Regulatory Skills: WpHG, KwG, MiFID2, MAD/MAR, EMIR, MaComp, MaDepot, MaRisk, GwG, AuA BaFin, DSGVO, BDSG, AML, AFC, KYC

Education and Certificates: 
  • WpHG & MaComp Compliance in der Praxis 
  • Basis Seminar Geldwäsche Beauftragte
  • Datenschutzbeauftragte/r gemäß DSGVO und BDSG
  • ACAMs
  • Certified Compliance Officer
  • Prince 2
  • Bachelor of Arts
Offerings
  • Leading teams up to 40 People including sub reports
  • Conducting trainings and workshops
  • Managing stakeholders and third parties
  • Managing projects and workstreams (Agile and Waterfall)
  • Onside and operational work in Start Up Compliance including AFC, AML, KYC (Retail) Outsourcing and Complaints
  • Sanction and Embargo Advisory
  • Setting up and maintaining internal written frameworks (policies, procedures, work instructions)
  • Setting up and performing risk assessments (MaRisk, AML) 
  • Setting up procedures for compliance measures and controls

Projekthistorie

11/2022 - bis jetzt
Senior Expert for Markets Compliance Europe
Private Wealth Bank (Banken und Finanzdienstleistungen, 5000-10.000 Mitarbeiter)

  • Markets Compliance Gap Analysis (WpHG, MaComp, MaDepot, MaRisk, etc.) 
  • Review on Directives Procedures and Policies
  • Preparation of Action Tracking for Compliance
  • Preperation of L2 Control Plan and alignment with european branches
  • Drafting on Compliance Risk Assessment (MaRisk/MaComp)
  • WpHG and Annual Audit Support

09/2022 - 02/2023
Senior Compliance Expert
sino AG (Banken und Finanzdienstleistungen, 10-50 Mitarbeiter)

  • Support on  Personal Account Dealings 
  • Setting up and assess MaRisk/MaComp Risk Assessement including calculations, methodology, and regulatory content

08/2022 - 11/2022
Senior AML Expert
IKB (Banken und Finanzdienstleistungen, 500-1000 Mitarbeiter)

  • Advisory on Sanctions and Embargos
  • AFC and AML Support
  • Test Managment and Testing for Pythagoras
  • Communication with external stakeholders 
  • Preperation of AFC Judgements
  • Preperation of Traings and Slidedecks

05/2021 - 07/2022
Central Compliance Lead
Trade Republic Bank GmbH (Banken und Finanzdienstleistungen, 500-1000 Mitarbeiter)

Leading the Central Compliance function for Germany, Austria, France, Spain, Netherlands, Italy

09/2020 - 05/2021
Senior Manager/in
Trade Republic Bank GmbH

Leading the Central Compliance function for Germany, Austria, France, Spain, Netherlands, Italy
Building the operating model as well as the yearly workplan for the Compliance function. Assuring compliance
with the applicable legal inventory. Further assuring Policies and procedures as well as maintaining the
compliance risk matrix and the compliance workbook.

01/2020 - 09/2020
Manager/in
Accenture GmbH (Banken und Finanzdienstleistungen, 1000-5000 Mitarbeiter)

Subject Matter Expert for assessment and re-organisation of the target operating model in compliance and
AFC. Calculation of levers and comparison of benchmarks. Further closing of audit findings in KYC/AML by
leveraging system and process improvements.
Clients: Deutsche Asset and Wealth Management UniCredit Bank

08/2017 - 12/2019
Principal Consultant
Capco - The Capital Markets Company GmbH (Banken und Finanzdienstleistungen, 250-500 Mitarbeiter)

Lead Business Analyst and CR Manager for a global AML project including cross border support in European
regions. Further support in coordination for MiFID 2 implementation encouraging collaboration between
Front-Back Office and Compliance.
Clients: Commerzbank, OnVista Bank

01/2017 - 06/2017
Manager/in
Baringa Partners LLP; UBS

PMO Lead for a MiFID 2 Project. Planning resources, workstreams and preparation of presentations for key
stakeholders.
Client: UBS

10/2013 - 12/2016
Consultant/Senior Consultant
Capco - The Capital Markets Company GmbH

Project Manager for a KYC/CDD project in Asia region (Hong Kong 13 Months). Lead Business Analyst and PMO
for an EMIR Transaction Reporting (all asset classes).
Clients: HSBC, DeAWM (Deutsche Asset and Wealth Management)

10/2008 - 09/2013
Consultant
PwC AG

Consulting for Capital Markets & Accounting Advisory Services as well as audit support and IFRS advisor.
Further supporting conduction of SEC registration and IPO support
Clients: Puma, GIZ, German Real Estate Agency, Commerzbank

Reisebereitschaft

Weltweit verfügbar
Reisebereitschaft: Flexibel 
Verfügbar: Vollzeit/ Nach Absprache

Aktuell bin ich bis Ende April 2023 mandatiert.
Profilbild von Janina Schwarz Senior Compliance/AML Expert aus Berlin Senior Compliance/AML Expert
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