André Eichner Email & Phone Number

Frankfurt Am Main, Hessen, Deutschland

Frankfurt Am Main, Hessen, Deutschland

• Second line risk control owner for operational risk for business and functional activities or processes performed in Germany and EEA branches.
• Monitoring of local execution within the country-level processes; and adherence to global policies, control standards and process governance set out by global process owners and risk control owners.
• Monitoring compliance to the Board approved risk tolerances and effectiveness of the risk controls; escalation of material exceptions to the senior management and respective committees.
• Controlling of implementation and usage of the Operational Risk Framework across the critical processes and activities performed in Germany and the EEA.
• Review and challenge the causes of operational risk events and appropriateness of the mitigation actions.
• Reporting and escalation of significant operational risk events, and support the preparation of the root cause analysis. Approval and classification of operational risk losses.

Frankfurt Am Main Area, Germany

• Management of Client On-boarding, Client Due Diligence, Account Opening requirements and handling of exceptional events
• Operational support GAM-Team and key functions (Legal & Compliance)
• Execution of KYC/ CDD reviews and remediation exercises to comply with Group policies and local/ foreign regulations and laws
• Optimizing of controls and procedures to minimize TATs, improve transparency, reduce client risks and to perfect “Once to client” approach
• Identification and Tracking of blockages/ hotspots, timely escalations to relevant stakeholders and data quality insurance at all stages anytime
• Participation in key projects/ meetings and ad hoc duties & responsibilities to reduce Overdue statistics and escalation actions

Frankfurt Am Main Area, Germany

• Back-Office-Management (ca. 8.000 clients europeanwide): complete account opening process, client static data management, payments etc. as well as access management to internal and external banking systems
• Support and set-up of new teams / branches (14 onshore / 6 offshore), Reporting support JB Switzerland, project member implementation new client documentation forms / corporate design in 2015
• Project member implementation wealth management business of Merrill Lynch (Transfer preparation, access management, client documentation)
• Controlling external administrative service provider (SLA avaloq sourcing)
• Monitoring / improving internal and external processes (Outsourcing)
• Controlling of the relevant legal requirements for financial institutions (e.g. WpHG, KWG, MaRisk, MiFID), corporate guidelines (e.g. FATCA as an instructor) and preparing operational instructions

Frankfurt Am Main Area, Germany

Professional practical semester

Frankfurt Am Main Area, Germany

• Fund research / competitor & market analysis
• Creation of fund factsheets and statistics
• Personal Assistant Fund Management

Frankfurt Am Main Area, Germany

• Documentation, testing and analysis of e-Learning applications
• Data recording and Quality Management