Gregor Neveling

Gregor is a director with more than 20 years of experience in the financial services industry, both in Europe and Asia. He has extensive experience in corporate, retail and investment banking, wealth and asset management, compliance, AML/CFT, KYC, and risk. He started his career with Deutsche Bank, later worked for the Financial Services division of PricewaterhouseCoopers Management Consulting in Frankfurt and then moved on to an Inhouse Consulting role within Commerzbank AG. After about 8 years in the consulting field, Gregor became the Managing Director and COO of Commerzbank’s Wealth Management subsidiary in Singapore. In 2010 he took on the role as Regional Head of Compliance for Commerzbank’s Asian operations. Gregor worked for the Advisory arm of KPMG Singapore from 2013 to 2019 before moving to Protiviti.

Major Projects

• Implementation of a Robo Advise Digital Banking system for the mass affluent segment of a regional bank in 4 countries in ASEAN
• Renewed AML/KYC documentation of the ASPAC client population of a global US Investment Bank with altogether approx 70 consultants
• Renewed AML/KYC documentation of the global client population of a global European Bank with altogether approx 60 consultants
• Successful completion of a Proof of Concept for a RegTech Client On-boarding KYC system with automatic data collection, unstructured data ingestion, automatic rules execution and machine learning
• Introduction of a global communication policy in order to define all means allowed for professional communication and the respective methods of control in order to address potential weaknesses retrieving historical records (in the context of a rate fixing investigation)
• Development and delivery of a markets conduct training for staff on the trading floor of a bank that covered legal, regulatory and ethical aspects on the interaction with other market participants
• Improving regulatory reporting in all Chinese branches of a bank to ensure a high reporting quality and achieve a higher regulatory rating. The rating of the bank improved from lowest third to top third
• Remediation of a regulatory audit in Singapore in order to improve a bank’s rating. The relationship to the regulator strongly improved after the remediation project
• Reorganization of a bank’s structure and reengineering the core processes to streamline activities and focus on client needs. The project resulted in an overarching process documentation and in automation where possible
• Remediation of a regulatory breach concerning a foreign jurisdiction by conducting a gap-analysis, developing and implementing a remediation plan and managing stakeholders including the foreign regulator
• Introduction of a European investment/securities regulation (MiFID) to the investment banking segment of a bank with requirements to significantly change sales procedures and related systems as well as to train staff and inform clients
• Introduction of a Management Information System. A comprehensive Management Information System including a balanced scorecard and traffic light logic on all levels was introduced, problematic (red) areas could be identified by drilling down to the singular issue

Areas of Expertise

• Corporate & Investment Banking
• Wealth Management
• Retail Banking
• Asset Management
• Compliance, AML/CFT, KYC
• Risk

Industry Expertise

• Financial Services

Education

• MBA (‘Diplomkaufmann’), Johann Wolfgang Goethe University, Frankfurt, Germany
• Diploma in Compliance, International Compliance Association, Singapore (IBFA – Singapore Institute of Banking Advanced Qualification)
• Qualified banker (‘Bankkaufmann’), certified German professional education