Instant audit-ready compliance with a single click

Compliance in the Financial Sector — More Stringent Than Ever

Banks and financial institutions face constant regulatory pressure: BaFin, FINMA, MaRisk, GwG, and EU Anti-Money Laundering Directives demand comprehensive checks on executives, key function holders, and sensitive positions.

Manual fit-and-proper checks and sanctions list comparisons cost compliance teams hundreds of hours each year — yet gaps remain that could become problematic in the next audit.

Indicium for Banks and Financial Institutions

• Fit & Proper Checks: Automated suitability assessments for boards, supervisory boards, and key function holders — in line with BaFin and FINMA requirements

• Sanctions and PEP Screening: Continuous matching against international sanctions lists and PEP databases — not just once, but daily

• MaRisk Compliant: All checks documented and exportable — immediately ready for auditors and regulatory authorities

• Minimize Insider Risk: In-depth screenings for employees with access to sensitive assets and financial systems

• Audit Trail: Tamper-proof archiving of all check steps with full traceability

How It Works

1. Create a Check Profile — Define the scope of checks based on role: board, supervisory board, trader, or back-office.

2. Automatic Examination — Indicium scours relevant registers, sanctions lists, and public sources in minutes.

3. Structured Report — Clear results with risk assessment, source references, and concrete action recommendations.

Outcome

Financial institutions that switch to Indicium achieve audit-ready compliance at the push of a button. That means: less manual work, reduced regulatory risk, and the confidence of being prepared for the next review by BaFin or auditors.

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