Harald Prihoda

Development and management of center of competence for proper documentation and modeling of global compliance processes and (key) controls in Group Compliance; identification, analysis and documentation of material processes in collaboration with primary stake holders; coordination, tracking and support of process owners re review and improvement of compliance processes; coordination of security classification; participation in process-related projects; training and guidance of compliance staff

Manage operational AML/CTF department comprising three teams with 40 internal staff and up to 20 external employees in charge of KYC, transaction monitoring and case management; main responsibilities include review / decision of high risk clients, review of monitoring alerts, analysis/investigation of cases and ongoing development and updating of relevant policies, procedures and processes, liaison with regulators and law enforcement agencies and management of / participation in relevant projects

Manage two departments in charge of transaction monitoring, investigations and high risk clients; analyze and decide on alerts retrieved from monitoring systems and cases from various sources; develop and implement related processes and procedures; advise business on compliance matters; liaise with regulators and law enforcement agencies; run whistleblowing platform; review and decide on high risk clients (including, but not limited to, PEPs and SIPs); manage or participate in compliance-related projects

Manage Central Compliance Team; prepare ad hoc and shareholding reporting; coordinate NPP-process within Group Compliance; advise and provide relationship management to Group Management / Group Service units, domestic subsidiaries and selected foreign branches / subsidiaries; manage complaints received via BaFin; implement and coordinate whistle-blowing process including reporting to (Supervisory) Board; introduce and monitor auditor independence process; liaise with domestic / foreign compliance teams

Manage Compliance teams in London, Jersey and Guernsey; advise business on compliance issues; assure timely and proper processing of compliance, financial crime and sanction matters; develop and maintain applicable policies, procedures and processes; represent Compliance in selected committees; accompany and follow-up on internal and external audits (e.g. Arrow Review); plan and conduct desk reviews; run or attend compliance-related projects; liaise with regulators, head office and relevant bodies

Ensure business conduct in line with applicable laws / regulations and internal policies / guidelines; advise and support business units and dedicated compliance hubs on compliance-related issues; train staff in compliance matters (e.g. conflict of interests, code of conduct); maintain and intensify contact with regulators; monitor regulatory developments and implement as appropriate; coordinate internal and external audits and remediation of findings; manage compliance projects

Group-wide evaluation, consolidation, reconciliation and reporting of Loan Loss Provisions to (Supervisory) Board and eligible third parties in line with German and US-GAAP

Management of working group „Basle II - Credit Risk Motivation“; coordination of rating and scoring modeling; development of risk frameworks

Develop, review and approve new methodologies for assessment and measurement of counterparty risk in trading business and related policies and procedures; Liaise between Group Risk and investment Banking; Review and approval of new products and markets (NPP). Handling of inquiries related to credit risk in investment banking; counseling of business units; Preparation of risk frameworks for subsequent Board decision

Preparation and execution of internal audits (mainly international business, commercial loan business, domestic branches, internal accounts; special cases) with team strength up to 15 staff; support of NY audit department in 2002 (6 month) with local audits of internal departments and affiliates in Chicago and Los Angeles

Apprenticeship (6 month) and practical training related to conduct of commercial loans business, mortgage based financing, intensive care and collateral management including preparation and assessment of loan applications

Trainee / business administrator international department (i.e. handling of International payments, check collections, documentary business, guarantees, trade finance / export finance)