Internal Control System (ICS) & Compliance Functions for Your Banking License
BaFin scrutinizes your Internal Control System under KWG §25a and MaRisk AT 4.3 with particular rigor during the licensing process. We design a Three Lines of Defence architecture with you, establish the compliance function per MaRisk AT 4.4.2, and implement effective control processes — so your ICS structures not only pass the licensing review but create operational value.
- ✓BaFin-compliant ICS implementation in accordance with MaRisk standards
- ✓Professional compliance organization and functions
- ✓Risk-based control design and automated monitoring
- ✓Integrated compliance culture and behavioral controls
Your strategic success starts here
Our clients trust our expertise in digital transformation, compliance, and risk management
30 Minutes • Non-binding • Immediately available
For optimal preparation of your strategy session:
- Your strategic goals and objectives
- Desired business outcomes and ROI
- Steps already taken
Or contact us directly:
Certifications, Partners and more...
From ICS Design to a Fully Operational Compliance Organization
Our ICS & Compliance Expertise
- Comprehensive knowledge of MaRisk, BaFin circulars and ICS requirements
- Proven ICS frameworks from successful banking license procedures
- Technology-enabled compliance solutions and RegTech integration
- Comprehensive approach from organizational design to culture development
Regulatory Priority
An inadequate ICS or weak compliance functions regularly lead to BaFin requirements or license rejections. Professional ICS and compliance systems are fundamental prerequisites for regulatory acceptance.
ADVISORI in Numbers
11+
Years of Experience
120+
Employees
520+
Projects
We develop your ICS and compliance structures systematically and on a risk-based basis, taking into account your specific business model requirements and regulatory framework conditions.
Our Approach:
Gap analysis and ICS requirements assessment
ICS design and compliance organization development
Technology integration and automated control implementation
Testing, validation and compliance culture development
Documentation and BaFin readiness preparation
Melanie Düring
Head of Risk Management
Our Services
We offer you tailored solutions for your digital transformation
Internal Control System (ICS)
Comprehensive development and implementation of ICS frameworks that combine regulatory excellence with operational efficiency.
- Risk-based ICS design in accordance with MaRisk standards
- Automated controls and technology integration
- Control testing and effectiveness validation
- Continuous monitoring and performance measurement
Compliance Organization & Functions
Development of professional compliance structures and functions for effective regulatory management and business support.
- Compliance organizational design and role delineation
- Compliance monitoring and reporting systems
- Compliance culture and training programs
- RegTech solutions and digital compliance
Our Competencies
Choose the area that fits your requirements
ADVISORI helps assign management and oversight responsibilities within a planned institution. We organise role profiles, suitability documentation and board procedures for further specialist and supervisory assessment.
Let's
Work Together!
Is your organization ready for the next step into the digital future? Contact us for a personal consultation.
Your strategic success starts here
Our clients trust our expertise in digital transformation, compliance, and risk management
Ready for the next step?
Schedule a strategic consultation with our experts now
30 Minutes • Non-binding • Immediately available
For optimal preparation of your strategy session:
Prefer direct contact?
Direct hotline for decision-makers
Strategic inquiries via email
Detailed Project Inquiry
For complex inquiries or if you want to provide specific information in advance