Corporate and high net worth banks

Consulting / Compliance & Operational Risk Division

Integration of a "Brokerage" subsidiary in the US zone within the KYC Policy

Challenges & Objectives:

  • Meet the recommendations of the local regulator
  • Integrate the subsidiary into the bank’s KYC Policy

Approach & Implementation:

  • Drafting of the scoping note
  • Definition & Implementation of the governance
  • Definition of the project streams
  • Realization of the Business Requirements and UAT
  • Project management
  • Change Management
Deployment of the Operational Risk TOM on the ALM-T

Challenges & Objectives:

  • Implement the second-level control function for operational risk on ALM-T activities at the group level (Head Office and Entities)
  • Respond to regulators’ requests for the separation of the different lines of defense

Approach & Implementation:

  • Analysis of the existing situation and the gap with the target organization
  • Conduct of workshops with all stakeholders
  • Definition of job descriptions and responsibilities associated with the newly created function
  • Drafting of the terms of reference for the ALM-T internal control committee