- Planning and management of internal audits assignment in Switzerland, France, UK, Channel Islands, Monaco, Luxembourg, Liechtenstein, Miami, Singapore and Hong Kong.
- Implementation and improvement of an audit tracking tool.
- Internal Audit quality reviews.
- Coordination of Customer Information Profile reviews and enhancements following a regulator visit.
- Centralisation of the Independent Asset Manager activity and set-up a dedicated IAM desk.
- Set-up of a platform dedicated to affluent clients.
- Improvement and Automation of Front Office transaction processes.
- Management of Internal Control & Sarbanes-Oxley Act compliance projects (scoping, risk assessment, documenting and testing).
- Front Office coordination of Mifid and Cross border rules implementation.
Process and Quality:
- Quality certification project (Processes update, documentation and walkthrough in preparation of an ISO 9001 follow-up audit).
- Post acquisition processes and key controls alignment.
- Statistical Process Control implementation.