Robert Kliche-Auriliance | Golden Source for Corporate Governance & Compliance

E-mail screenings | Document screenings | Transaction screenings | Reviews

CONTEXT: Performing screenings and reviews as part of an evaluation (in an international context) during the bank wind-down, in close coordination with involved lawyers (Baker McKenzie) and forensic experts (Deloitte)

Client lifecycle management/KYC KYC assessments | KYC process and change management | Communication with stakeholders

CONTEXT: Interim KYC Officer integrated in the 1st LoD, responsible for KYC assessments for real estate finance existing and new clients in close coordination with origination, credit risk management and compliance (Munich, London, Paris and Madrid)

Compliance and AML coaching | Design and implementation of a central gifts register | Design and implementation of processes | Creation/adaptation of policies | Development of a compliance training concept with an underlying risk heat map | Preparation of training materials | Conducting training sessions/workshops | Point of contact for management and employees | Communication with stakeholders

CONTEXT: Interim takeover of the compliance officer role at a leasing company that was recently sold by a banking group to a private equity investor

Anti-corruption (relationship management) | KYC assessments | Communication with stakeholders | Payment and transaction checks | Development of an AML training concept with an underlying risk heat map | Conducting workshops | Point of contact for employees

CONTEXT: Interim takeover of the compliance & AML officer role with a focus on corruption and anti-money laundering value chain (onboarding, payments, monitoring, reporting)

Governance assessments | Committee monitoring | Process management | Tool optimization | Line responsibility management | Duty management | Communication with stakeholders | Workshop moderation

CONTEXT: Contributed to the implementation of the Governance Owner Application (GO App), partly in a coordinating role as project manager, partly in a line role as global governance relationship manager (for both committees and senior management)

§18 analyses | Balance sheet analyses | Rating assignments | KPI monitoring

CONTEXT: Interim assumption of the credit analyst role for various clients/ engagements across different industries

GAAP analysis | Development of a formal structure for handling credit proposals | Interim organization of the credit committee

CONTEXT: Harmonization of various European GAAP for a unified risk perspective in the context of the balance sheet analysis and reporting system (BARS), discussion of credit proposals with multiple international branches, weekly credit committee organization

Topic coordination (internal and external) | Communication with sponsors and shareholders, particularly support for regular coordination talks with owner representatives | Communication with supervisory authorities | Monitoring statutory compliance | Interface to the external auditor regarding committees

CONTEXT: Contact person for members of the Risk Committee (and deputy for members of the Audit Committee) of the BayernLB Board of Management; committee support, especially preparation and follow-up of Risk Committee meetings (and deputy for Audit Committee); special projects (committee member compensation, rules of procedure, etc.)

Link to investor (BayernLB) | Investment controlling | Responsibility for BoD meetings, including preparation and follow-up as well as all BoD-related projects | Regulatory reporting | Restructuring | Absorption merger | Financing | Controlling | Reporting | Accounts receivable management | Annual financial statements

CONTEXT: Link between the investor (BayernLB) and the subsidiary (German Centre Shanghai); technical responsibility for the finance and administration department; leading (project) responsibility for

• retroactive project controlling during the construction phase,
• restructuring of project financing,
• design, implementation/execution of business processes, competency framework, reporting, controlling, accounts receivable management (dunning), and monthly reporting,
• restructuring of the entire German Centre group with an equity transfer (transfer of a subsidiary) from a holding in Hong Kong to a holding in the British Virgin Islands, winding up the Hong Kong holding, absorption merger of two operating entities in Shanghai (in cooperation with Taylor Wessing Shanghai, KPMG Hong Kong and Shanghai as well as BayernLB in Munich and the branches in Hong Kong and Shanghai),
• annual financial statements (coordinator, interface to the external auditor),
• legal issues (coordinator, interface to external lawyers)