About

ToMarkus GmbH

In 2017 Markus Toma decided to become an independent Consultant and Entrepreneur. With ToMarkus GmbH the aim was to unite exceptional personalities with unique skill sets of deep expertise, personal experience and entrepreneurship to serve clients especially in the Financial Serives Industry and holistically focus on their needs, business, people and end customers.

Credentials

Main Engagements
@ Credit Suisse, UBS, SIX, ZURICH, Saxo Bank, etc.

Brexit Program / Loan Business Migration & Operational Readiness

  • Advise Program Management fon Loan Migration, Legal Entity Governance, Outsourcing and Operations
  • Prepare material for governance meetings, such as Management Board, Supervisory Board or Shareholder meeting in Program context but also regulator meetings

System, Data + Process Outsourcing (Operations improvement and efficiencies)

  • Strategic assessment and planning of outsourcing business & operations functions and procedures (incl. CID) outside CH to leverage existing centrally maintained capabilities of an online trading bank
  • Definition of the TOM of the retained organization, evolution of the organization over time and definition of the client & regulator communication strategy
  • Assessment of legal requirements and implementation measures

US Person Transparency TOM and Contractual framework of Service Company set-up

  • Consolidation of regulatory requirements with regard to US Persons and pricing/billing/booking related questions across Legal, Finance, Operations and IT and impact on Target Operating Model
  • Definition and mitigation actions with regard to earmarking engine, eligibility engine, operational dependencies and front-to-back control framework
  • Definition of intra-group billing and booking business requirements and accounting related methodologies

FATCA Control & Compliance Framework

  • Execution of Global FATCA Controls & Compliance Considerations
  • Direct report to Group Responsible Officer / Global Head of Compliance
  • Strategic considerations with regard to Regulatory Affairs and Projects (e.g. OECD AEI / CRS)

People & Change and High Performance Culture

  • Business development of client services with regard to people development and change management (e.g. positive leadership)
  • Establish high performance culture considering physical and psychological factors on individual to organizational dimension

Positive Leadership

  • Evaluation of Positive Psychology and Transformational Leadership aspects which led into the new “Positive Leadership”
  • Assessment of Positive Leadership and correlations to stressors and resources within an Austrian bank (>1’000 participating leaders)
  • Identification of measures to improve Positive Leadership, focus on strengths and to indirectly reduce stressors

Group Regulatory Affairs – TOM development + COO support

  • Structured assessment of Group Regulatory Affairs Organization
  • COO support: Board of Director and Executive Board presentations and management communication regarding global regulatory affairs (key focus topics and developments)
  • Development and design of Target Operating Model options and risk mitigation measures

F2B Digitalization (incl. Operations improvement and FTE reduction)

  • Business Project Lead of a team >30 employees (internals & consultants)
  • Definition of overall program standards and templates
  • Reporting to program management, business unit leads, sponsors and STC
  • Responsibility for process assessment, design, business requirements, handover to IT implementation and post go-live support
  • Preparatory support to identify SUB Tax Operations strategy for 2020

OECD Automatic Exchange of Information

  • Subject Matter Expert
  • Global impact assessment and development of a cross-stream and international target state, implementation plan and budgeting
  • Advise on program management set-up and re-structuring
  • Delivery and team responsibility: Definition of regulatory requirements and strategic business considerations
  • Cross-stream and international alignment of requirements, implementation structure and BAU

European/Italian/French Financial Transaction Tax

  • Traceability and implementation of regulatory requirements into Global Business, Operations and IT
  • User acceptance testing (definition of test scope, quality gates, coordination of test design and execution, documentation and sign-off preparation)
  • Monitoring of risks, issues and deliverables (cross stream and international)
  • Preparation of Senior Management and Stakeholder communication

Austrian Withholdings Tax (KEST 2011/2013 changes)

  • Implementation of KEST 2013 taxation law (update to 2011) on financial instruments
  • Remediation and cleansing of historical transaction data with regard to KEST, currencies, holding period, etc.
  • Data migration and testing of new taxation engine

Get In Touch

8806 Bäch SZ
Switzerland
+41 79 150 7558
info [at] tomarkus.com