Regulatory Compliance
Risk & Control Frameworks
AI Governance

Regulatory compliance professional with a legal background and extensive experience across Swiss banking and global financial services. My experience covers regulatory interpretation, policy governance, and risk and control frameworks. My responsible AI Governance focus is grounded in structured education, academic project work and continuing applied research.

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Profile

Compliance experience with a practical governance perspective.

I am a regulatory compliance professional with extensive experience across Swiss banking and global financial services. My work has focused on regulatory interpretation, governance, policies, risk and control frameworks, assessments and practical guidance for the business. A law degree and a Certificate of Advanced Studies (CAS) in AI in Finance complement my professional foundation.

Core expertise

Regulatory judgement translated into practical frameworks.

Four connected areas reflect the core of my compliance and governance work.

Regulatory Compliance & Advisory

Interpreting regulatory requirements and translating them into policies, assessments, guidance and practical implementation measures.

Governance, Policies & Control Frameworks

Developing and maintaining policy and control structures, clarifying responsibilities and supporting consistent implementation.

Risk, Remediation & Audit Readiness

Assessing compliance and control risks and supporting remediation, documentation and audit readiness.

AI Governance & Responsible Adoption

Applying a compliance perspective grounded in structured education, academic project work and applied research.

Experience

Professional experience across compliance and international banking.

My career includes second-line compliance coverage within UBS Compliance & Operations Risk Control, earlier cross-jurisdictional market-control responsibilities, and international securities and cash operations at UBS and Credit Suisse.

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June 2025—present

Regulatory Compliance & AI Governance Research

Professional development & applied research

2001—2025

Financial services career

UBS and Credit Suisse

AI Governance

Responsible AI through a compliance and governance lens.

My AI Governance focus is grounded in the CAS in AI in Finance, an individual thesis, a group academic case study, further certificates and continuing applied research, building on my core professional experience in regulatory compliance.

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Evidence basis

CAS, thesis & academic case study

Continuing development

Further certificates & applied research

Projects

Selected work & project examples

These examples cover policy governance, control enhancement, cross-border regulatory alignment and applied academic work. Professional examples remain high-level to respect confidentiality.

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Policy governance

Alignment of policy requirements, guidance and supporting controls.

Controls

Governance and procedural control enhancement for Conflicts of Interest.

Responsible AI

Applied academic research on proportionate AI governance in financial services.

Foundation

Education & languages

2024—2025

CAS in AI in Finance

HWZ University of Applied Sciences in Business Administration Zurich

1995—2001

Licentiate Degree in Law (lic. iur.)

University of Fribourg, Switzerland · graduated with special distinction: bilingual (German/French)

Languages

German: NativeFrench: NativeEnglish: Professional working proficiency

Current professional focus

My professional focus is translating regulatory expectations into workable governance, policies and controls that support responsible business outcomes.

Professional contact

For professional exchange on compliance, governance and responsible AI.

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