Manuel Alderete

- Appointed as Subject Matter Expert (SME) to support the Head of Compliance - Defined KPCis and authored procedures for the Employee Conduct Incident Framework - Resolved Operational Risk Inventory (ORI) issues - Responded to regulatory authority questionnaires - Reviewed marketing materials for compliance adherence - Published Compliance-centric newsletters

- Established the Internal Control Management role for BAU operations - Designed and executed 1LoD control processes - Led risk assessments and quality checks for Self-Identified Issues (SIIs) - Produced Risk Management reports for senior leadership - Advised departments on risk and control strategies - Oversaw outsourcing processes, adjusted SLAs, and implemented KPIs - Work stream lead for WARF (Working Across the Ring Fence) for Risk & Control

- Consulting on the annual BaFin Audit (Securities Trading Act) - Conducted regular compliance controls - Managed regulatory reporting - Established processes for regulatory inquiries - Assessed and addressed employee incidents and policy breaches - Oversaw outsourcing and monitoring activities - Provided guidance on ad hoc inquiries related to Investment Banking (IB) Compliance

- Provided comprehensive marketing consultancy for entrepreneurs and small businesses - Integrated web3.0 into client marketing strategies - Implemented sales automation processes to enhance efficiency - Advised on ideal customer targeting and offer formulation - Designed and developed sales funnels to optimise conversions - Crafted compelling copy for various marketing materials - Developed automated webinars for client engagement

- Managed KYC onboarding for major German clients and their foreign subsidiaries - Conducted periodic KYC reviews for clients across risk spectrums - Created KYC profiles by translating intricate group structures into org charts, verifying legal identities, identifying UBOs, and validating client data - Handled product onboarding and offboarding processes - Reviewed and addressed potential matches during screenings - Screened sanctions and embargo (S&E) lists for compliance

- Managed and executed risk analysis and risk & control assessments - Produced regular risk reports - Managed the lifecycle of self-identified issues - Validated audit findings to ensure accuracy - Developed presentations and training materials for Operational Risk - Established the Conflict of Interest (CoI) framework, authored the policy, and integrated it - Designed the divisional framework for Records Management (RM) and penned the corresponding policy - Served as Deputy Risk Type Controller

* Sales management for a company specialised in ergonomic chairs and workplace solutions for people with disabilities * Development and maintenance of the sales network, including but not limited to acquiring new sales partners, key stakeholders, and customers * Monitor customer preferences to determine the focus of sales efforts * Successful organisation of the representation on major trade fairs * Established online sales (B2C) and digital marketing for the company

- Managed the Sydney Centre for an international charity, aiding over 10,000 individuals annually to overcome debt through education, coaching, and live counselling - Built and led a dedicated team of debt counsellors and financial trainers - Organized budgeting classes and accountability sessions on personal finance - Conducted multiple classes, engaging dozens of participants - Established and spearheaded a network of debt counsellors and financial trainers

- Managed fund controlling for six closed-end shipping funds invested in container feeder ships - Conducted regular market research and analysis to inform investment decisions - Successfully restructured four out of the six funds via refinancing initiatives - Represented the company at the largest investment fair in Germany - Supervised fund performance, accounting, and financial statements, collaborating with fund administrators, auditors, and investors to ensure transparent financial assessments

- Served as Deputy Branch Manager, assisting in branch operations and management - Offered expert advice to Degussa Bank clients on financial decisions, including credits and investments

- Conducted market research and analysis of the shipping sector - Established myself as a Subject Matter Expert in ship investments - Monitored the shipping market and producing competitive analyses - Engaged daily with customers - Delivered regular training sessions for sales partners and affiliates - Developed sales materials - Collaborated on strategies to restructure multiple shipping funds - Responsible for training the in-house staff on current market developments

* Client Advisory in regards to closed-end funds * Market research and analysis * Complaint management * Successfully developed and maintained an internal knowledge database

- After successful graduation as a bank clerk (dual studies) working as a teller and financial planner, advising clients of the bank - Assumed full responsibility for the service area of one of the bank's branches