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Compliance & Risk Consulting for Financial Institutions in Switzerland
Pragmatic. Solution-oriented. Direct. – FINMA compliance, internal control systems, anti-money laundering prevention and regulatory consulting with genuine hands-on experience in the financial sector.
Free initial consultation
With genuine hands-on experience as a compliance consultant in the financial sector, I support financial companies such as wealth managers, FinTechs and other market participants with regulatory topics relating to FINMA, SRO and legal requirements. I draft policies, carry out process optimisations, advise on the implementation of KYC and transaction controls, anti-money laundering prevention, and implement new regulatory requirements.
The biggest challenge in compliance is the operational implementation of increasingly complex regulatory requirements. It is less about knowing the rules, and more about translating them into processes, controls and decision-making mechanisms that work in daily operations.
Services for Financial Institutions
Ongoing support and implementation of requirements such as KYC & KYT analysis, due diligence
Design, review and optimisation
Reviewing and drafting standard documents
Implementation of regulatory requirements
FADP and GDPR interface
Review and adaptation to legal requirements
FinSA, AMLA, FADP for compliance teams
Identification and management of regulatory risks
AI in Financial Processes – secure, compliant, effective
Financial service providers are under constant regulatory pressure. At the same time, expectations for efficiency and speed are rising. AI offers the solution – but only if it is introduced in a legally compliant way. I help financial service providers deploy AI where it delivers the greatest impact:
- Automated document review and contract analysis
- AI-supported compliance monitoring
- Intelligent support for onboarding, reporting and risk analysis
- Development and optimisation of internal control systems with AI integration
As a lawyer with operational FINMA experience, I develop AI modules that not only work but also stand up to regulatory scrutiny. Every solution is tailored to your regulatory situation and existing processes.
Time Savings & Efficiency
Routine processes automated, without loss of quality
Compliance Security
AI deployment that meets FINMA and FADP requirements
Four Steps to Regulatory Security
Structured process from initial analysis to ongoing compliance support – with clear documentation and a direct point of contact.
Initial Consultation & Situation Assessment
In the initial consultation we capture the specific situation of your company, your core business, market position, existing organisation and your goals.
Analysis & Assessment
We examine your existing documents in detail and structure the situation. From the GAP analysis we derive a suitable strategy for implementation.
Implementation Plan & Documentation
We put together an action plan with the necessary measures. Depending on the situation, we draft policies, forms, regulations or optimise processes.
Support & Ongoing Compliance
The measures are implemented efficiently in line with FINMA and SRO requirements. We communicate with the authorities and keep you up to date on new circulars.
Clear Conditions
No hidden costs. You know in advance what your consultation will cost.
Regulatory & Compliance PackageCHF 8,000.–
- Initial consultation (capturing the situation, requirements, goals)
- GAP analysis of internal compliance (actual vs. target)
- Preparation of action plan, necessary measures to reach targets and meet regulatory requirements
- Implementation of action plan and strategy in line with FINMA and SRO requirements in your company
Legal Consulting PackageCHF 2,000.–
- Kickoff meeting (clarify needs assessment)
- Contract Law:
- Review of 2 existing contracts up to 10 pages each or 1 contract up to 20 pages
- Contract assessment before signing up to 10 pages (analysis with possible content changes)
- 1 contract drafting (e.g. client contract, supplier contract) up to 10 pages
Business Process OptimizationCHF 2,000.–
- Analysis of 2 internal (core) processes, identifying weaknesses and legal risks
- Optimisation and implementation of internal (core) processes
- Structural adjustments (e.g. document filing systems)
Project-based AI Integrationupon request
- Analysis of your regulated processes and identification of AI potential
- Development of a tailored AI module (e.g. compliance monitoring, contract analysis, reporting)
- Implementation with regulatory requirements in mind
- Documentation and training of the compliance team
Price: on request, depending on complexity, scope and regulatory context. AI modules are developed individually for your company and your regulatory situation. Effort and price vary based on complexity and scope.
Additional services from CHF 300/hr
Regulatory & Compliance:
- Ongoing compliance support and assistance (FINMA requirements)
- Regulatory risk analysis
- Support in setting up the internal control system
- Training on current regulatory compliance topics
- Data protection
Legal advice:
- Contract negotiations with other companies
- Create contract templates
- Communication and correspondence with companies, law firms and authorities
- Handling legal questions (e.g. employment law, corporate law, liability law, data protection law)
- Handle legal cases (excluding litigation)
- Create document templates
You describe your situation, I give an initial assessment.
What financial institutions ask most
What exactly does compliance consulting entail?
Ongoing compliance support, ICS setup, review of contracts for regulatory conformity, data protection compliance (FADP/GDPR), and training for compliance teams.
We are new to the Swiss financial market – how will you support us?
From the first regulatory analysis to the implementation of FINMA requirements – I guide new market participants step by step.
Do you also cater to smaller asset managers without their own compliance department?
Yes – especially for smaller financial service providers without their own compliance resources, the offering is particularly relevant and cost-efficient.
Implement FINMA requirements pragmatically
15 minutes free, no obligation.
We discuss your regulatory situation and your goals.