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Ampel Compliance & Non-financial Risk
Ampel Compliance & Non-financial Risk
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Compliance and non-financial risk

Legal and regulatory requirements for banks are increasing, and the management of non-financial risks (NFR) is gaining prominence. Regulatory authorities are placing greater emphasis on NFR – compliance risks, operational risks, reputational risks and ESG risks – treating them as key areas of scrutiny during audits. In the DACH region, relevant supervisory authorities include BaFin, the EBA, the ECB, FINMA and national financial supervisory bodies.

Emerging regulatory pressure in compliance as well as in the management and control of non-financial risks (NFR) is driving increased demand for advisory services.

To avoid sanctions, audit findings, financial damage and risks pertaining to reputation, compliance or ESG, institutions must understand compliance and non-financial risk management as a holistic responsibility from an early stage.

Our approach

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Understanding risks!

… means making compliance and non-financial risks measurable: through early detection, a structured taxonomy and a robust analysis from a resilience perspective.

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Our integrated methodology establishes the basis for transparency, comparability and a reliable assessment of non-financial risks.

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Managing risks!

… means making informed decisions about risk acceptance and tolerance based on regulatory requirements – such as AMLA specifications or national-level requirements.

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Our solutions intelligently combine compliance and NFR perspectives, enabling targeted and future-proof risk management in a European context.

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Minimizing risks!

… means being proactive, i.e. initiating measures before risks arise.ㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤ

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By closely dovetailing compliance and non-financial risk management, we offer comprehensive preventive measures that mitigate risks early on, even before they are included in control plans.

Our areas of expertise

Compliance
  • We analyze existing compliance organizations, assess their maturity levels and develop forward-looking target images.
  • We design practical processes for implementing the regulatory requirements from MaRisk, WpHG, MaComp, EBA and AMLA.
  • We help review, design, and implement effective AFC frameworks, including those related to money laundering, terrorist financing, sanctions and fraud prevention.
  • We analyze risks to identify and assess potential dangers at an early stage.
  • We support governance assessments with a focus on sustainability, fit and proper evaluations and organizational effectiveness.
  • We specifically integrate compliance and NFR issues into license applications, market entries or business model expansions.
Non-financial Risk
  • We develop methods for identifying and assessing non-financial risks, such as reputational, business and strategic risks.
  • We integrate NFR assessments and effectiveness testing into the operational risk framework, covering areas such as information security, regulatory compliance and related risk domains.
  • We improve the quantification of non-financial risks from normative and economic perspectives.
  • We further develop internal control systems – with clear rulebooks and sustainable implementation.
  • We train management and supervision in NFR topics for specific target groups.
  • We strengthen governance structures through clear responsibilities and control mechanisms.
  • We define risk appetites and develop management strategies for non-financial risks.
  • We integrate compliance and NFR aspects into strategic initiatives such as license applications and market entries.
Compliance house

About zeb

Our Compliance & NFR team will support you in managing risks effectively and establishing a sustainable risk culture. By combining a holistic approach with digital tools and data-driven methods, we deliver tailored, forward-looking solutions.

“Effective compliance and NFR management is only possible when all responsible units within an institution collaborate constructively …“. 

Dr. Saskia Hohe, Partner

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Efficiently managing regulatory requirements

Regulatory pressure in the area of compliance and non-financial risk is intensifying. Our zeb.RegulatoryHub supports you in efficiently monitoring and implementing all relevant requirements.

To the zeb.RegulatoryHub

 

Feel free to contact us

Saskia Hohe, zeb

Dr. Saskia Hohe

Partner
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Tamara Braun

Senior Manager
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Günther Blaha

Senior Manager