Institutional Precision. Front-to-Back Integrity.
I help asset managers, private banks and service providers design, migrate and operate robust investment compliance and conduct‑risk frameworks.
From OMS and Aladdin migrations to day‑to‑day pre‑trade controls, best‑execution, employee trading and market‑abuse surveillance, you get a hands‑on specialist who has already delivered Tier‑1 integrations.
Where I bring the most value
OMS Integration & Migration
Integrate new OMS or compliance engines (Aladdin, Sentinel, MIG21, Xentis, Charles River) into existing governance.
Translate prospectus and IMA requirements into executable rules, including complex UCITS, BVV2 and SFDR constraints.
Run parallel‑run and regression testing so PMs and regulators can trust the new setup from day one.
Compliance target operating model
Design first and second line control frameworks around new platforms or booking models.
Define roles, ownership and escalation paths for alerts, breaches and approvals.
Build dashboards and reports so management and boards see the right indicators, not raw noise.
Change run by someone who has done it
Sub-led major integration of a large Swiss asset manager into another Tier‑1 group, migrating 1,200+ funds and 8,000+ investment rules.
Assist buidling an AI‑assisted prospectus parser to accelerate rule‑coding and reduce operational risk.
Comfortable in project steering committees and meetings with regulators.
As a CFA candidate and CAIA charterholder, I speak the language of the Portfolio Manager, the Risk Officer, and the IT Architect. I founded Nexus to bridge the gap during periods of high-stakes change—ensuring that as your systems evolve, your compliance remains uncompromised.
Day‑to‑day controls I can build and refine
Beyond projects, I help teams strengthen their BAU controls so that pre‑trade checks, post‑trade monitoring and conduct‑risk oversight actually work in practice.
Pre‑trade and post‑trade investment limits
Concentration, issuer/sector/country limits, derivatives use, eligibility and rating rules.
Best execution and trading quality
Cross‑trade and partial‑fill controls, price slippage and venue analysis, exception workflows.
Employee trading and personal account dealing
Policy design, pre‑clearance workflows, restricted lists and integrated monitoring.
Market‑abuse and conduct risk
Insider‑dealing and front‑running patterns, wash trades, unusual P&L and illiquid names.
Regulatory and client reporting
UCITS/AIFMD/BVV2/KKV monitoring packs, board reporting, shareholding disclosures and SEC filings.
How a typical engagement works
Three steps:
Scoping and diagnostics
Review current OMS/compliance setup, key regulations, client base and pain points.
Design and implementation
Draft rule logic, configure engines, test controls and document the target operating model.
Handover and oversight
Train internal teams, define KPIs and stay on call for complex breaches or audits.
Why clients choose Nexus RC
Front‑to‑back experience – from middle‑ and back‑office supervision to portfolio compliance and 2nd‑line integration.
Platform‑agnostic – Aladdin, Charles River, Sentinel, MIG21, Xentis and custom OMS environments.
Fluent in regulations – UCITS, AIFMD, BVV2, KKV, SFDR, MAR, US 1940 Act and shareholding disclosure regimes.
Hands‑on, not just advisory – I don’t just write memos; I sit with PMs, quants and IT to make rules work in production.
Let’s talk about your next migration or control review
Based in Schindellegi (SZ), I work with clients across Switzerland and the EU.
Whether you are planning an OMS migration, strengthening pre‑trade controls or upgrading market‑abuse monitoring, we can scope a focused engagement in one call.