Auditor in Frankfurt

• Replacement of the existing host-based archive system (document management system – DMS) is well underway.

• The internal audit is intended to ensure the organization’s quality standards.

• GDPR

• ISO 27001 ff.

• BSI

• DORA

• Patient data regulations

• Host / Cloud / S3 / Container / Highly scalable / Nuxeo

• Budget: 50.000

• Team: 1

Internal audit at two credit institutions in the cooperative sector: MaRisk, risk management/overall bank management, accounting according to HGB, reporting requirements, CRR, anti-money laundering, outsourcing, compliance, KWG, capital gains tax, payment transactions, credit reviews (system and individual case reviews with collateral valuation), internal control system, institutional compensation regulation, balance reconciliation, electronic banking, data protection, membership matters, account openings, personnel, related business, inheritance regulations, special matters, goods trading, CSRD/taxonomy regulation/ESRS/sustainability, problem loans and intensive support.

Internal audit at an asset management company: outsourcing, risk management, collective fund management, anti-money laundering, institutional compensation regulation, InvMaRisk, IFRS (2023-2025).

Internal audit at a CRR credit institution including risk management, liability umbrella, procurement: MiFID II conduct of business rules according to §§ 63 ff. WpHG, KWG, HGB, WpHG, WpHG compliance, WpHGMaAnzV, EBA, BaFin (2023-2025).

External report review for financial statements of securities institutions and crypto companies: Securities Institution Act (WpIG), KWG, IFRS, notes, management report, MaRisk, risk management/overall bank management, accounting according to HGB, reporting requirements, CRR, anti-money laundering, outsourcing, compliance, system and individual case reviews with collateral valuation, internal control system (2025).

Internal audit at a credit institution in the cooperative sector (2023-2024): MaRisk, risk management/overall bank management, accounting according to HGB, reporting requirements, CRR, anti-money laundering, outsourcing, compliance, KWG, capital gains tax, payment transactions, credit reviews, internal control system, institutional compensation regulation, balance reconciliation, electronic banking, data protection, membership matters, account openings, personnel, related business, inheritance regulations, special matters, intensive support and problem loans.

Audit of open-ended investment funds (04/2024-05/2024): AIF, KAGB, OGAW, UCITS, SICAV, management company.

Annual financial statement audit at a leasing institution (2023-2024): KWG, HGB, leasing regulations, notes, management report, reporting requirements, compliance, anti-money laundering, outsourcing, internal audit.

Audit of regulatory requirements at a securities institution according to WpIG, MaRisk, anti-money laundering (2024).

IFRS financial statement preparation for investment funds (07/2019-05/2023): HGB to IFRS conversion, notes, hedge accounting, provisions, equity, price review, subfunds, pool funds, SICAV, FCP, IFRS 37, IAS 32, 39, IFRS 7, IFRS 9.

Audit of reporting requirements (banking supervision law) at a PIE institution (securities trading bank) (02/2023).

Workstream lead for migration of accounting for closed-end funds, including closed-end fund accounting/valuation (real estate, aircraft, infrastructure including hedge accounting), particularly multi-level fund structures at overall fund level as well as individual company financial statements within funds (SPVs) according to HGB/KAGB/IFRS, fund administration (consolidation, NAV calculation, regulatory reporting, asset management, particularly fund accounting for tangible assets such as system expansion, system change, setting up new closed-end funds in existing accounting systems), preparation of decision templates from a business perspective and presentation to the steering committee, board-level communication, interface management between IT and the business department, interim assumption of coordination and continuation of VAT reporting at an asset servicing bank (11/2022-02/2023).

Advisory and support for funding applications at a funding institution (11/2022-01/2023).

Conducting annual financial statement audits for a financial holding company, credit institution and securities institution according to HGB and WpIG, including banking supervision law review (internal audit, anti-money laundering, compliance, MaRisk, CRR, institutional compensation regulation) (03/2022-07/2022).

Annual financial statement audit of a credit institution with a focus on crypto business/crypto trading according to HGB and WpIG, including banking supervision law review (internal audit, anti-money laundering, compliance, MaRisk, institutional compensation regulation, CRR, compliance, anti-money laundering, outsourcing) (03/2022-07/2022).

Conducting annual financial statement audits for a financial holding company, credit institution and securities institution according to HGB and WpIG, including banking supervision law review (internal audit, anti-money laundering, compliance, MaRisk, institutional compensation regulation) (03/2022-07/2022).

Support of internal audit at a credit institution (02/2022-04/2022).

Project-related quality assurance (internal audit, anti-money laundering, compliance, MaRisk, institutional compensation regulation, accounting under commercial law) and report review during the annual financial statement audit of a securities trading bank (10/2021-03/2022).

Project-related quality assurance and report review during the annual financial statement audit (including banking supervision law, problem loans and intensive support, and executed corporate actions) of a commercial bank (10/2021-03/2022).

IFRS conversion of SPACs (05/2021-08/2021).

Advisory and support for funding applications at a funding institution (04/2021-06/2021).

Support of internal audit at a credit institution (02/2021-04/2021).

Project-related quality assurance (internal audit, anti-money laundering, compliance, MaRisk, institutional compensation regulation, accounting under commercial law) and report review during the annual financial statement audit of a securities trading bank (10/2020-03/2021).

Project-related quality assurance and report review during the annual financial statement audit (including banking supervision law and executed corporate actions) of a commercial bank (10/2020-03/2021).

Training on IFRS 17 topics (01/2021).

Annual financial statement audit according to HGB (including banking supervision law and corporate actions) at a factoring company (09/2020-11/2020).

Support in preparing consolidated financial statements at a real estate leasing company according to HGB (08/2020).

Final audit of 4 leasing companies, including banking supervision law and executed corporate actions (04/2020-08/2020).

Project-related quality assurance (internal audit, anti-money laundering, compliance, MaRisk, institutional compensation regulation, accounting under commercial law) and report review during the annual financial statement audit of a securities trading bank (12/2019-06/2020).

Project-related quality assurance and report review during the annual financial statement audit of a commercial bank (12/2019-04/2020).

Functional quality assurance during preparation of annual financial statements according to HGB and answering technical questions (management report, notes) regarding accounting according to HGB at a commercial bank specializing in project and aircraft financing (11/2019-02/2020).

Support of the "Accounting Principles" department at a commercial bank, focusing on "consumer credit business," particularly IFRS 9 (hedge accounting, deferred taxes under HGB and IFRS) and IFRS 16 (12/2018-06/2019).

Preparation of a model audit report and critical review of fund reports for an audit firm.

Preparation of checklists for WpHG audits (12/2018-03/2019).

Project-related quality assurance and report review during the annual financial statement audit of a commercial bank (12/2018-03/2019).

Project-related quality assurance (internal audit, anti-money laundering, compliance, MaRisk, institutional compensation regulation, accounting under commercial law, including executed corporate actions) and report review during the annual financial statement audit of a securities trading bank (12/2018-03/2019).

Interim management at an international bank with a focus on wealth management: advisory on the classification of financial instruments under HGB and IFRS, ensuring preparation of IFRS reporting, monitoring and deriving measures to ensure annual financial statements according to HGB while considering Brexit changes, ensuring and documenting expert concepts and process descriptions, advisory on technical questions regarding BFA 2, BFA 3, IAS 39, IFRS 9 (06/2018-11/2018).

Internal inspection (04/2018-05/2018).

Project-related quality assurance during the execution of annual financial statement audits (with corporate actions) at a securities trading bank and a commercial bank (01/2018-03/2018).

Internal audit at an asset management company (anti-money laundering, KAMaRisk, MAD, MIFIR, PRIIP regulation, WpHG) (12/2017-01/2018).

Participation in monthly reconciliations and plausibility checks of derivative results according to HGB and IFRS, including executed corporate actions (IAS 39 and IFRS 9), preparation of reports on the development and analysis of derivative results, regular preparation of IFRS reporting packages, support in preparing annual financial statements under commercial law (notes, management report), support with the introduction of SAPFin for derivatives, including testing financial instruments in SAP Bank Analyzer for correct posting and support with basic work and basic questions at a public-law development bank in Frankfurt (11/2016-11/2017).

Report review for a WpHG audit at a securities trading bank (10/2017).

Project-related quality assurance during the execution of an annual financial statement audit at a securities trading bank by a mid-sized audit firm (01/2017-04/2017).

Preparation of a technical IT concept for IFRS 9 for loans and answering technical questions on IAS 39, IFRS 9 for loans, treasury, hedge accounting and fair value (05/2016-10/2016).

Audit of a consolidated package according to IFRS (01/2016).

Participation in developing a group-wide chart of accounts (including representation of corporate actions) according to HGB and IFRS (07/2014-03/2016).

Participation in preparing a new cross-functional product hierarchy for financial instruments in the group, applicable to risk management, controlling, accounting and tax (07/2014-03/2016).

ECB audit: Asset Quality Review Phase 2 PPA (spring 2014).

Audit according to WpHG and deposit law (including MiFID) (spring 2014).

Audit of the annual financial statements of a credit institution (including FinRep) (11/2013-03/2014).

Preparation of annual financial statements at a leasing company (accounting according to HGB), including substance value calculations according to HGB and IFRS (10/2012-11/2013).

Preparation of (consolidated) financial statements for credit institutions, clearing and exchange companies (accounting according to HGB and IFRS), preparation of notes according to HGB and IFRS, and comparison of annual financial statement information with FINREP criteria while considering MiFID requirements (11/2010-06/2012).

Management of internal audit at an investment stock corporation and securities trading bank (2012).

Additional topics: WpHG compliance audit, anti-money laundering and notification requirements, risk management systems (MaRisk and InvMaRisk), compliance, contingency plan, outsourcing, trading book – investment book, trading and settlement, investment limits, management fees and performance calculations, accounting topics, particularly financial instruments including hedge accounting, fair value measurement, pensions, disposal of business segments, interest effects on long-term provisions and liabilities, deferred taxes, subsidiaries and associated companies, impairment, foreign currency translation, support of accounting during the planned merger of two exchange companies, support of accounting during implementation of full banking license requirements, support of accounting during integration of a majority-owned company into the group chart of accounts, risk management audit, audit of processes for restructuring and workout loans, portfolio audit according to WpHG, technical project responsibility for a central price provision project for securities/active market, organization and management of meetings and preparation of decisions on this project, development/preparation of IFRS expert concepts considering the Accounting Modernization Act on equity-debt, impairment, market price use according to IAS 39/active market considering the exposure draft on fair value measurement, deferred taxes, operational support in determining notes according to HGB for the securities and loans group, technical contact person for IFRS questions in the Financial Instruments department, preparation of seminar materials on foreign currency translation according to BilMoG, ad hoc special investigations.

• Conducting external audits in medical technology with a focus on GMP, MDR and QMS compliance
• Assessing CAPA actions, validation documents and regulatory study materials
• Training teams in audit readiness and quality awareness

• Design and global rollout of sensitivity labels (confidentiality labels) for automated classification and encryption of business-critical data.
• Definition and rollout of Data Loss Prevention (DLP) policies to protect IP and personal data across endpoints, Exchange, SharePoint, Teams, and non-Microsoft clouds.
• Setup of Insider Risk Management policies to detect and contain excessive data leaks and risky user behavior.
• Implementation of GDPR and retention requirements through automated retention policies and structured records management.
• Technical support for legal teams in internal and external investigations using eDiscovery (Standard/Premium) and Content Search.
• Continuous improvement of the security and compliance level by reviewing the Microsoft Compliance Manager and closing gaps (regulations such as ISO 27001, NIS-2)

• Risk analysis
• Performing control activities
• Transaction Monitoring

• Introduction of an access control solution and preparation of a tender for a visitor management system.
• As project manager, I am responsible for the successful introduction of a cloud-based access control system at two sites with approximately 4000 employees.
• Responsible for the successful implementation of the project.
• Preparation and coordination of project plans and status reports with all stakeholders.
• Preparation/coordination of an initial effort or cost estimate and related planning for the implementation of operational services.
• Identification of interfaces.
• Compliance with the budget and schedule.
• As Tender Manager / Demand Manager, I am responsible for the following specific tasks:
• Analysis of potential providers.
• Elicitation of requirements.
• Preparation and coordination of the requirements catalog.
• Preparation of an evaluation matrix.
• Preparation of tender documents.