I am a Banker, MBA (Finance and Accounting) and LL.M (International Business and Tax Law) providing 30+ years of experience as Business Analyst, Project Manager and RegTech Product manager gained within leading private banking and wealth management organisations, Central Custodian and Clearing houses and IT Solution Provider located in Europe and the APAC region.
I am focused on drafting compliance policies and procedures and on the implementation of RegTech Solutions to strengthen financial institutions efforts to combat financial crime based on aggressive tax planning, off-share tax evasion and money laundering.
KEY FOCUS AREAS
- Impact assessment of EU Regulations (e.g. DAC6 or ESG disclosure regulations) on non-EU based financial institutions offering investment services to EU Residents,
- Draft and review policies and procedures
– to comply with AML/KYC, account holder/beneficial owner documentation and documentary evidence duties under CRS, FATCA, the US QI Regime local AML regulations, and
– to detect legal arrangements or financial products designed to exclude individuals and legal entities including their controlling persons from CRS and FATCA due diligence and fiscal reporting.
- Design, evaluation and implementation of RegTech Solutions
– to support AML/KYC, client due diligence and enhanced client due diligence procedures under CRS and FATCA,
– to detect suspicious financial transactions enabling account holder bypassing to be reported under CRS and/or FATCA, and
– to automate the generation and validation of fiscal reports under CRS/AEoI, FATCA, the US QI Regime (Forms 1042, 1042-S, Form(s) 1099) and Section 3406 – US Backup Withholding Tax (Form 945).
- Drafting of opinions related to international tax topics or on the application of double tax treaties.
- Participation in and lead of tax and regulatory compliance projects, User Acceptance Testing and ad hoc tasks.