Felix Kristinus

The Compliance Operations function is responsible for an effective execution of core compliance activities within the AML area, from monitoring activities to the handling of alerts and compliance related requests. In addition, the function is liable for the systems used (transaction monitoring and name screening) as well as their configuration and maintenance. These activities are performed in close cooperation with and instruction from the Luxembourg entity.

Responsible to establish an effective risk management function which operates as key advisor to Dock Financial in the daily management of operational and outsourcing risks. Building and operating an effective risk governance and procedural environment to identify, measure, monitor and report risks as well as to provide effective mitigating measures. Further, liable to oversee the data science function.

We acts as a senior advisor to the Head Global Wealth Management Latin America in the day-to-day management of operational risks and advise and coach regions, markets and desks on operational risk matters. I am functionally responsible in supervising and advising our Swiss and US based business as well as our local risk organizations in Brazil, Panama and Mexico on multiple risk topics to ensure risks are timely identified and effectively mitigated. Working language: German, English, Spanish

As a member of the Wealth Management Global Emerging Markets team I was primarily covering the business in Latin America. During my tenure I lead several audits covering offshore locations like Brazil and Panama, onshore units like Swiss Financial Advisors or functions like Human Resources. In this role I was responsible for the audit planning and team, timely and effective execution and reporting. Working language: German, English, Spanish

As team member of the supervisory team of UBS I was responsible in supervising the divisions Wealth Management America’s and Swiss Banking, supported by specialists in the risk management and solvency and capital team. In this role I was accountable to monitor the divisions activities in a comprehensive manner based on a number of internal and external (risk) reports, external audits or supervisory reviews and complemented by continuous meetings with senior executives. Working language: German, English

Dachfondsmanagement, Research, strategische und taktische Asset Allocation, Endkunden-Reporting, Fund Relations

Compliance, Risiko- und Performanceberichte, Implementierung neuer Richtlinien der CSSF, Fonds-Risiko-Controlling

Zuständig für die Überwachung des Brokerage Geschäftes, Vertriebscontrolling, Performanceattribution, Kontrolle des Tagesgeschäftes der Vermögensmanager

Mitwirkung der Investmentstrategie, Aufbau und Berechnung von Musterportfolios

Aussenhandel und Finanzen, Thema der Diplomarbeit: Beteiligungsfinanzierung als alternative Finanzierungsform für den Mittelstand in Folge der Basel II Richtlinien