Portrait

We are a professional compliance consulting company. The main focus of our work is on the financial industry. We advise the management in strategic questions and take care of the operative tasks for you. We offer compliance, legal and risk management services from a single source.

As our client, you can benefit from our many years of experience in managing positions with renowned financial institutions. We offer best know-how, understanding of clients‘ business and needs and guarantee an absolutely reliable provision of services.

We are the first and only compliance consulting company in Switzerland with comprehensive experience in compliance regarding Russia, Ukraine and other countries from the region (CIS Compliance).

As a truly specialised service provider who has been dealing exclusively with this subject for years, we offer well-founded, up-to-date knowledge and sustainable solutions at competitive prices.

Sector

  • Banks and securities dealers
  • Asset managers of collective investment schemes
  • Independent asset managers
  • Fintech companies
  • Private equity companies
  • Industrial companies
  • Commodity trading companies
  • International organisations
  • Non-profit organisations
  • Authorities
  • Law firms
  • Private clients
Due to our independency, we are free of any conflicts of interests.
Do not hesitate to contact us.

Offer

Compliance

  • Compliance programs und compliance management systems
  • Corporate governance
  • Internal regulations and directives
  • Advice on regulatory matters, e.g. Banking Act, Stock Exchange Act, Financial Services Act (Draft), Act on Financial Institutions (Draft), MiFID, Financial Market Infrastructure Act, Collective Investment Schemes Act (CISA), AIA, Anti-Money Laundering Act, data protection (GDPR) etc.
  • Anti-money laundering and anti-corruption (AML Compliance)
  • Due diligence
  • Risk assessment clients, business partners and agents
  • Risk assessment complex structures and transactions
  • International sanctions and embargoes
  • Training and coaching for management and employees
  • Cross-border service provision

We continually observe legal and regulatory development domestically and internationally. We compile effective and sustainable compliance programs and compliance management systems for you.

Legal & Regulatory

  • Legal and regulatory advice
  • Legal engineering
  • Legal agreements
  • Standard- and client documentation
  • Legal due diligence
  • Legal outsourcing
  • Establishment and incorporation of companies, trusts, foundations etc.
  • License applications FINMA, FMA
  • Membership applications self-regulated-organisations (SROs) and industry organisations
  • Immigration law

Our many years of experience in legal departments of large companies enable us to not only offer consultation in a well-founded manner, but also practice-oriented and with an understanding for your business. This sets us apart from many classical consulting companies and law firms.

We will advise you strategically and take care of your entire project management.

Risk Management

  • Conception and implementation of state-of-the-art risk management and risk control processes
  • Serving temporarily and permanently in business critical and regulatory functions
  • Risk management know-how on board level
  • Training and coaching

We are your competent partner for risk management and risk control on all corporate levels.

Outsourcing & Body Lending

  • Compliance, legal and risk management outsourcing/insourcing
  • Providing staff resources during personnel shortages and for projects

There are many reasons for outsourcing. The most common ones include the company’s size, professional requirements for compliance and cost-efficiency.

The qualifications of our specialists are recognised by different financial market supervisory authorities. Our specialists are recommended by the custodian banks and auditing firms.

Project & Interim-Management

  • Conception and implementation of processes and instruments
  • Serving temporary and permanently in various compliance, legal, risk management and management functions

CIS Compliance

  • Consulting in all compliance-relevant questions regarding Russia, Ukraine and other countries from the region

We know these market’s legal and regulatory requirements as well as the language.

Compliance Audit

  • Compliance audit
  • Voluntary examinations
  • Remediation

Experience shows that a compliance audit (or «pre-audit») through an independent professional third party brings many advantages. This way, legal and regulatory risks can be recognised in time and the proper condition can be restored if necessary (remediation).

If there is any suspicion of non-compliance, we will perform voluntary examinations for you and make recommendations on request.

Expert opinions

  • Expert opinions for courts and authorities
  • Party opinions
  • Subjects: Liability in connection with rendering of financial services, Investment fraud, International money laundering cases, corruption etc.

We provide our independent expertise and contribute to solving complex cases.

About Compliance

There is no legal definition of compliance. Compliance is embedded into the system of state regulation, self-regulation and individual freedom.

Due to its ethical dimension, compliance goes beyond the observation of laws and rules. Rather than describing the formal application of individual legal provisions or «ticking the boxes», compliance means deliberate use of rules and taking responsibility for one’s company, the justified interests of others and society in the widest sense. Compliance is very closely bound to the values in society and reflects its development.

In the financial industry, compliance is often equated with control functions or even a „policing function“. This understanding of compliance not only does not live up to the term and the purpose of compliance in any manner, but is also very counter-productive. It produces resistance and in practice actually causes perception of compliance employees as „business preventers“.

Professionally implemented compliance is characterised by efficiency, creates competitive advantages, minimises liability and reputation risks and contributes to the company’s economic success. Involvement of external service providers is recommended in many cases.

Do you want to learn more about efficient Compliance? We will gladly be available to you for an initial discussion.

Team

Lamara von Albertini, PhD

Lamara von Albertini last worked as Head Legal & Compliance for a private bank in Liechtenstein, and before that in a law firm in Zürich, and used to be a Legal Counsel in the senior management of large financial institutes in Switzerland. She has 18 years of professional experience in Asset Management and Banking (Switzerland, Liechtenstein and Germany), has successfully implemented many national and international projects and increasingly advises industrial companies and individuals in addition to financial institutions.

Lamara von Albertini studied law at the University of Kiev and acquired a PhD degree there with a dissertation in law. Additionally, she holds the CAS „International Organisations“ from the University of Zürich. From 1998 to 2002 she was a lecturer at the Ludwig-Maximilians-Universität in Munich. Ms Lamara von Albertini speaks German, English, Russian and Ukrainian. She is committed to support for children in Switzerland and abroad. She is a Swiss citizen living in Zurich.

Dr. Viktor Walker

Having studied economics and business administration at the University of Zurich, Viktor Walker received his doctoral degree for his dissertation on the subject of bank risk management. Thereafter he worked as an expert for investment and risk management solutions for globally leading investment banks. He then founded, led and eventually successfully sold an independent asset management group for traditional and alternative investment strategies. Since then he founded a consulting firm, which focuses on the topics of risk management, compliance and corporate management primarily for clients in the financial industry. Viktor Walker serves as an independent member on the board of directors of several companies. He is a Swiss citizen living in Zurich.

We have a first-class network, so that large and complex projects can be implemented reliably as well.

News

Credentials

  • Outsourced compliance function regulated and self-regulated asset managers
  • Risk management function regulated and self-regulated asset managers
  • Conception and implementation of compliance program for a bank
  • Advice and project implementation regarding international sanctions
  • Compliance and legal advice Fintech companies
  • Advice and implementation due diligence projects
  • Legal advice private clients
Upon request we will provide you with names and reference information.

Contact

von Albertini Compliance Services
Dufourstrasse 181
CH-8008 Zürich
Your contact person
Lamara von Albertini
+ 41 44 524 88 88
contact@vonalbertini-compliance.ch

Send us an email