KYC and AML Reviews for various financial institutions in Switzerland and LiechtensteinFINMA Audits and Enforcement ActionsData Protection (nDSG) and GDPR Projects for various companies and financial institutions

Assist clients in filings with the Securities and Exchange Commission as Investment AdvisersAnnual Compliance Review for SEC registered Investment Adviser

Successful build-up from scratch and subsequent management of an SEC registered Investment Adviser for the UBP Group; in charge of the legal setup, operational build-up, drafting of compliance program and operational procedures; daily management of the company; budget process; reporting to the board of administrators; additionally work on strategic projects for the UBP Group

Management of Strategic Projects- Build-up of a US SEC regulated Investment Advisor in Geneva, Switzerland April 2013 - December 2013- Integration of an acquired entity in Gibraltar June 2013 - April 2014- Project Management of the "US Program as Category 2 institution" for the bank October 2013 - March 2014

Consultant for Compliance related Projects

Project manager for the wind-down of an acquired entity in Sion and subsequent transfer of the book to Geneva

Supervise Operations Department, Information Technology, Internal Control, Credit, Execution Desk and Finance Department. - Oversee the proper functioning of the Back Office Liaise with Clearing Broker on all issues to solve problems and enhance processes and systems - Renegotiate Clearing Broker agreements Manage the support team- Plan strategy and Business Continuity- and Pandemic Plan- Assess, acquire and implement new software solutions- Identify and manage all operational risks- Establish operational control plans and supervise said controls- Supervise Credit Administration and recommend Credit Files to Head Office where above granted powers- Implement Organization Structure and define responsibilities- Supervise Execution Desk and sign as Principal on transactions- Prepare and follow-up the yearly budget- Responsible for reviewing and ensuring timely submission of reports to regulatory authorities and Head Office- Acquisition of portfolio from Bank of America (400mio US$); Due-diligence and project management- Transfer of 95% of assets to BNP Paribas Miami Agency; project planning and management

Project Compliance: global project consisting of implementing Anti-Money-Laundering software and adapting / creating working procedures and recommendationsProject Martha/Bertha: Due dilligence mission in GermanyProject SWIFT Nassau: installation of the SWIFT platform in BNP Paribas Nassau

Rebuilding of Portfolio Management Services in Asia after the merger of BNP and Paribas; Definition of the product range for Asia and participation in the definition of the products for BNP Paribas Private Banking; Management of two teams of Portfolio Managers, one in Singapore and one in Hong Kong; member of the BNP Paribas Private Bank Investment Committee

Supervision of the Portfolio Management Team in Zurich; Member of the BNP Paribas International Private Bank Investment Committee

Member of the local Investment Committee; preparation of Investment Proposals for customers; secondary analysis of US equities

Designed the concept and developped Fund Manager Trading and Settlement Application; Certified Developer Microsoft Visual Basic 3.0