Compliance Initiatives
Through diverse compliance initiatives undertaken by KVS Business Solutions and Riscreen GmbH, we have acquired extensive project expertise in various economic environments. As a result, we are well-equipped to provide comprehensive compliance advisory services tailored to your industry. We can assume compliance responsibilities as an outsourced partner or offer our software solution for your compliance management. Our software is adaptable to international standards and regulations, making it suitable for any industry. It is the culmination of years of experience in implementing compliance projects. The following is a selection of our past projects.
You can arrange the table by clicking on the headings in the first row.
Size | Branch | Topic | Tasks |
|---|---|---|---|
| Start-Up | Compliance | Compliance and money laundering officer Consulting and assumption of the function as externally appointed data protection and compliance officer for a software company for the implementation of the DSGVO as well as creation of an appropriate data protection organization and corresponding processes for compliance with data protection regulations |
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| Large corporation | Automotive | Compliance | Consulting and outsourcing services for a globally active, non-European financial services company for compliance, AML and data protection in Germany and Europe as well as the establishment of an appropriate compliance, money laundering and data protection organization. Establishment of ICS according to COSO and documentation in the SfO. |
| Large corporation | Automotive | Compliance | Advising a European leasing company in connection with the implementation of MaRisk and compliance standards on EU and national level |
| Large corporation | Automotive | Compliance | Consulting and provision of outsourced services for a globally active, non-European finance leasing company from the automotive industry. Assumption of the function of compliance, money laundering and data protection officer for Germany and Europe. Establishment of an appropriate compliance, data protection and IT security concept for the business activity. |
| Large corporation | Banks and financial services providers | Compliance | Technical consulting for a “captive” specialized credit institution in the context of an implementation project for the 4th EU Money Laundering Directive. Responsible for the technical implementation in the monitoring SW SIRON as well as the automation of Excel-based solutions for money laundering and compliance tasks like MaRisk Legal Risk Monitoring, GW Risk Analysis et al. |
| Large corporation | Banks and financial services providers | Money Laundering Prevention | Specialist consulting for a large internationally active leasing company – consulting and support of the ARC in the reorganization and streamlining of money laundering and fraud prevention related processes on a national and global level, development of technical solutions for the centralization of required AML processes (including CDD, risk identification, etc.), implementation 5th EU Money Laundering Directive |
| Large corporation | Banks and financial services providers | Compliance | Riscreen provides the COO Compliance, as well as the Head of Deputy Compliance |
| Large corporation | Banks and financial services providers | Money Laundering Prevention | Riscreen provides a Deputy Chief Compliance Officer and the Deputy Money Laundering Officer of a European “captive” bank as part of a global company, responsible for all MaRisk and money laundering functions, revision and redesign of policies and work instructions as well as project management for the implementation of the new money laundering regulations into the existing system landscape. Implementation of the newly developed control plan, revision of the money laundering GFA to take into account the changed national and international legal requirements, implementation of training courses. |
| Large corporation | Banks and financial services providers | Compliance | Riscreen provides a Compliance Officer for a major European global bank in the context of MaRisk-based development, consulting and execution of (Focus CIB – IB), complex sanctions law assessments and analyses, the cross-divisional process to prevent terrorist financing, KYC and ad hoc projects such as WB related matters in the context of complex structures of offshore SPVs, advising management functions and senior management in these contexts. |
| SME | Banks and financial services providers | Compliance | Establish a company to develop a MaRisk-based compliance software to manage regulatory risks related to the monitoring and implementation of compliance requirements. With functions to perform risk and change analysis, vertical and horizontal cross-referencing, regulation database as well as reporting and dashboard functions. Content focus MiFID II / MiFIR, AML, Data protection. |
| Large corporation | Banks and financial services providers | Compliance | Riscreen provides a Compliance Officer of a major European global bank in the context of preparing and managing the bank-wide MiFID II / MiFIR and MAD implementation project, GAP analysis, Level II consultation process, coordination between project and business segments, preparation of a user manual taking into account MaRisk requirements |
| Large corporation | Banks and financial services providers | Compliance | Riscreen provides a Compliance Officer for a major European global bank inter alia for the implementation of compliance requirements and development of monitoring functions according to MaRisk and MaComp for European operations, Financial Sanctions, USA Patriot Act et al., integration into the company’s ICS and documentation in the SfO. |
| Large corporation | Banks and financial services providers | Compliance | Riscreen stell a project manager for the German subsidiary of an Anglo-Saxon, globally operating asset management company in the implementation of the regulatory reporting system as well as the structuring of processes in the organizational and operational structure (focus on finance, MIS, commercial and regulatory reporting). Integration into the ICS of the company and documentation in the SfO. |
| Large corporation | Banks and financial services providers | Compliance | Riscreen provides a project manager at a German stock exchange and supports the introduction of a new market segment with a focus on the implementation of regulatory requirements and the avoidance of conflicts of interest in connection with new issues. |
| Large corporation | Banks and financial services providers | Compliance | Riscreen provides a project manager for an international specialized credit institution for sovereign and real estate financing. This person supports the implementation of the requirements according to §25c Abs. 1 KWG. (Large corporation 1400+ MA) for various topics in the compliance area – GFA fraud prevention, GFA-GW, implementation MaComp, § 34 WpHG, evaluation of results (GAP analysis) and summary of recommendations to improve control and finance processes and ICS, consideration of international requirements (US/ UK Sanctions, Corruption). Documentation in the SfO. |
| Large corporation | Banks and financial services providers | Money Laundering Prevention | Riscreen provides a project manager at a large public credit institution in the context of the implementation of the 3rd EU Money Laundering Directive / § 25 g KWG and the introduction of a Money Laundering Prevention Software. |
| Large corporation | Banks and financial services providers | Compliance | Consulting assignment for British and German locations of a globally active US investment bank. Accompaniment of the implementation of the 5th EU Money Laundering Directive, review and adaptation of CDD measures and updating of the Compliance & Money Laundering Directive. |
| Large corporation | Banks and financial services providers | Data protection | Consulting assignment for a globally active US investment bank. Conducting DSGVO audit including derivation of risk assessment and action plan for ensuring DSGVO compliance of the German company. |
| Medium-sized business | Banks and financial services providers | Compliance | Consulting assignment for a consumer credit bank. Revision and redesign of the technical concepts for regulatory reporting CoRep and FinRep according to CRR. |
| Large corporation | Banks and financial services providers | Compliance | Consulting assignment for a globally active major bank. Redesign of the compliance reporting system for the group, taking into account BCBS 239 and the corresponding EU and BaFin announcements and circulars (including MaRisk). Creation of project plan, structure, functional and technical requirements for the establishment of the new concept in all specialist areas (capital markets, money laundering prevention, financial sanctions, ssH, MaRisk, data protection). |
| SME | Banks and financial services providers | Compliance | Advising a specialized investment company on compliance and risk management in connection with the acquisition of a bank and the establishment of a bond issuance infrastructure |
| Large corporation | Banks and financial services providers | Compliance | Advising a globally active company in the banking and financial services sector on the implementation of new regulatory requirements (MaRisk, EMIR, KAGB, WpHG et al.) as well as the redesign of control plans, risk analyses in the areas of WpHG, MaRisk, GwG et al. and the preparation of reports. Further development of ICS and SfO. |
| Large corporation | Banks and financial services providers | Compliance | Advising the German subsidiary of a major European global bank on the implementation of new regulatory requirements in the area of MaRisk, MaComp as well as EMIR, Dodd-Frank and AIFM (KAGB) as well as updating the AML risk analysis, focus on asset management (also with CH reference) |
| Medium-sized business | Banks and financial services providers | Compliance | Consulting and provision of outsourced services for a financial services company in the asset management sector. Assumption of the function of compliance, money laundering and data protection officer. Establishment of a compliance, money laundering, data protection and IT security structure appropriate for the business activity. |
| Start-Up | Health and medicine | Compliance | Consulting assignment for a company in the healthcare industry. Support with the application for the banking license for finance leasing according to KWG and MaRisk. |
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Hint: This text has been translated by an AI (German > English). Slight errors may occure.