Regulatory Support for Compliance, Anti-Money Laundering, Risk Management and Internal Audit
Additional expertise. Additional capacity. Ready when you need us.
We support Compliance Officers, Anti-Money Laundering Reporting Officers (AMLOs), Information Security Officers, ICT Risk Control Functions, Outsourcing Officers, Data Protection Officers and Internal Audit Functions in their day-to-day responsibilities as well as during periods of heightened regulatory pressure.
We do not replace well-functioning organisations. We strengthen them.
When Regulatory Responsibilities Demand Additional Capacity
Regulatory functions are under constant pressure from increasing regulatory expectations, documentation requirements and supervisory scrutiny.
- New regulatory requirements must be implemented?
- Existing policies must be updated?
- Controls must be performed?
- Audit findings must be addressed?
- Reports must be prepared?
- Evidence must be produced for supervisory authorities and external auditors?
At the same time, day-to-day operations, projects and additional responsibilities continue. This is where we provide support. Not in theory. In practice.
How We Support You
We work within your existing organisation. We do not redesign systems that are already working effectively.
Instead, we help you maintain, enhance and strengthen your existing policies, procedures and controls so that they remain operationally effective and regulatorily robust.
For example, we support you with:
- Updating policies and operating procedures
- Reviewing and enhancing existing processes
- Performing regulatory controls
- Executing control activities
- Preparing control reports
- Preparing management reports
- Preparing reports for the Management Board and Supervisory Board
- Implementing new regulatory requirements
- Documenting regulatory evidence
- Addressing supervisory and audit findings
- Preparing remediation plans
- Supporting regulatory projects
- Conducting regulatory analyses
- Preparing for supervisory inspections
- Supporting supervisory inspections
- Quality assurance of regulatory documentation
You remain fully accountable for your regulatory function.
We provide the additional expertise and delivery capacity required to help you succeed.
Support During Exceptional Regulatory Situations
We are most frequently engaged when regulatory functions are facing exceptional pressure.
Typical situations include:
- Special inspections by BaFin
- Inspections by the Deutsche Bundesbank
- Regulatory reviews under the German Banking Act (KWG), the German Payment Services Supervision Act (ZAG), the German Investment Firm Act (WpIG) or the German Capital Investment Code (KAGB)
- Supervisory reviews within the Single Supervisory Mechanism (SSM)
- Joint Supervisory Teams (JSTs)
- Large-scale remediation programmes
- Time-critical regulatory projects
- Temporary resource shortages
- Significant documentation workloads
- Situations requiring immediate additional operational capacity
In these situations, we work closely with the responsible function holders, providing the additional expertise and operational support needed to deliver results under pressure.
Interim Management of Regulatory Functions
Where a key regulatory function cannot be filled at short notice, we can assume the role on an interim basis.
Typical reasons include:
- Unexpected resignation
- Illness
- Serious accident
- Bereavement
- Parental leave
- Maternity leave
- Retirement
- Vacancy pending permanent recruitment
We can act as:
- Interim Compliance Officer
- Interim Money Laundering Reporting Officer (MLRO)
- Interim Information Security Officer
- Interim Head of the Risk Control Function
- Interim Head of Internal Audit
- Interim Outsourcing Officer
- Interim Data Protection Officer
We remain in the role until a permanent internal appointment has been made.
How We Work With You
Depending on your requirements, we support you as:
- A trusted sparring partner
- Executive coach
- Project resource
- Regulatory task force
- Operational reinforcement for your regulatory function
- Interim manager
You decide how much support you need.
Who We Work With
We support regulated organisations, including:
- Banks
- Promotional and development banks
- Payment institutions
- Electronic money institutions
- Investment firms
- Asset management companies
- Financial services institutions
- Insurance companies
- FinTechs
- Crypto-asset service providers
- Other regulated organisations
Why Leitner & Associates?
Our expertise is built not only on advisory assignments but also on the day-to-day operational responsibilities of key regulatory functions. That is why we deliver practical, implementation-ready work products that integrate seamlessly into your existing organisation.
Our objective: To strengthen your regulatory functions quickly, pragmatically and effectively, while preserving and enhancing the structures that are already working well.