Control & Governance Processes for Your Banking Licence
BaFin scrutinises your control and governance processes particularly closely during the licence application — verifying compliance with KWG §25a and MaRisk requirements. We support you in building a comprehensive control architecture, from risk strategy and risk management processes through to operational monitoring. This lays the foundation for a smooth licensing process and sustainable bank management.
- ✓BaFin-compliant internal control systems and risk management
- ✓Automated controls and real-time monitoring capabilities
- ✓Three Lines of Defense implementation and oversight
- ✓Continuous process optimisation and control effectiveness
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
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Control & Governance Processes for Banking Licence
Our Control Excellence
- In-depth expertise in MaRisk, ICAAP and BaFin control expectations
- Proven control frameworks from successful banking licence procedures
- Technology-enabled controls and automated monitoring solutions
- End-to-end approach from design through to testing and optimisation
Critical Success Factor
Inadequate control and management processes are one of the most common reasons for BaFin conditions or licence rejections. Professionally developed internal controls are essential for regulatory acceptance and operational stability.
ADVISORI in Numbers
11+
Years of Experience
120+
Employees
520+
Projects
We develop your control and management processes systematically and on a risk-based basis, taking into account your specific business model requirements and regulatory framework conditions.
Our Approach:
Risk Assessment and Control Requirements Analysis
Control Design and Three Lines of Defense Implementation
Technology Integration and Automated Control Development
Control Testing, Validation and Effectiveness Assessment
Documentation and BaFin-Readiness Preparation
Melanie Düring
Head of Risk Management
Our Services
We offer you tailored solutions for your digital transformation
Internal Control Systems
Comprehensive development and implementation of internal control frameworks that combine regulatory excellence with operational efficiency.
- Risk-based control design and prioritisation
- Automated controls and technology integration
- Control documentation and process mapping
- Control testing and effectiveness validation
Management & Oversight Systems
Development of strategic management and oversight systems for effective corporate governance and regulatory compliance.
- Management information systems and KPI frameworks
- Three Lines of Defense implementation
- Board and committee oversight structures
- Continuous monitoring and real-time controls
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