Description

If you are a compliance officer, implementation lead, or change manager at a global private bank, this playbook was built for you.

Private banking institutions face mounting pressure to ensure that core banking system implementations meet rigorous regulatory standards across multiple jurisdictions. With Avaloq deployments spanning EMEA and APAC, teams must navigate complex requirements around data sovereignty, operational resilience, interface security, and audit readiness. Regulators increasingly scrutinize third-party technology integrations, demanding documented risk assessments, segregation of duties, and traceable change controls. Failure to demonstrate compliance during audits can result in enforcement actions, delays in go-live timelines, and reputational damage.

Engaging a Big-4 consultancy to design and validate an Avaloq implementation framework typically costs between EUR 80,000 and EUR 250,000. Alternatively, dedicating internal resources requires at least 3 full-time compliance and project governance specialists over 4 to 6 months to develop equivalent documentation and controls. This comprehensive playbook delivers the same rigor and structure at a fraction of the cost, just $395.

What you get

Phase	File Type	Description	Quantity
Discovery & Risk Assessment	Domain Assessments	Structured questionnaires covering key risk domains for Avaloq implementation	7
Evidence Collection	Evidence Runbook	Step-by-step guide to collecting, labeling, and storing compliance evidence for Avaloq deployment	1
Audit Preparation	Audit Prep Playbook	Checklist-driven process for preparing internal and external audits of Avaloq implementation	1
Project Governance	RACI Templates	Pre-built responsibility assignment matrices for implementation phases and control activities	5
Project Governance	WBS Templates	Work breakdown structures for Avaloq rollout milestones, including testing and cutover	5
Compliance Integration	Cross-Framework Mappings	Detailed alignment tables linking controls to ISO 27001, NIST SP 800-53, SWIFT CSP, and FINMA RS 08/21	48

Domain assessments

Third-Party Interface Risk: Evaluate integration points between Avaloq and external systems for data integrity, access control, and monitoring.
Change Management: Assess procedures for code promotion, version control, and emergency changes within the Avaloq environment.
Data Protection & Privacy: Identify compliance gaps related to personal data handling under GDPR, PSD2, and APAC data laws.
Operational Resilience: Review business continuity planning, failover mechanisms, and disaster recovery testing for Avaloq-hosted services.
Access Control & Segregation of Duties: Map user roles, entitlements, and approval workflows to prevent conflicts and unauthorized access.
Incident Response & Monitoring: Validate detection, escalation, and remediation processes for security events in the Avaloq platform.
Customization & Configuration: Examine controls around parameter settings, script modifications, and non-standard configurations.

What this saves you

Activity	Without This Playbook	With This Playbook
Develop risk assessment templates	40, 60 hours of internal legal and compliance effort	Download and customize included templates (under 5 hours)
Map controls to ISO 27001 and NIST	Manual cross-referencing across frameworks (30+ hours)	Use pre-built mappings (ready for review)
Prepare for internal audit	Reactive evidence gathering, often incomplete	Follow structured runbook with defined evidence trails
Define project governance roles	Draft RACI and WBS from scratch or outdated examples	Adapt proven templates tailored to core banking migrations
Ensure FINMA RS 08/21 compliance	Interpret guidance independently with high risk of misalignment	Apply control mappings validated against FINMA expectations

Who this is for

Compliance officers responsible for validating third-party system implementations in private banks
Implementation project managers overseeing Avaloq rollouts across multiple jurisdictions
IT governance leads ensuring alignment with information security and operational risk policies
Change control officers managing customization and configuration in core banking platforms
Internal auditors preparing for post-implementation reviews of Avaloq deployments
Chief risk officers seeking assurance over technology transformation programs
Data protection officers evaluating privacy impact in system integration scenarios

Cross-framework mappings

The playbook includes detailed control mappings to the following regulatory and industry frameworks:
ISO/IEC 27001:2022 (Information Security Management)
NIST Special Publication 800-53 (Rev. 5) (Security and Privacy Controls)
SWIFT Customer Security Programme (CSP) Controls (2024 baseline)
FINMA Regulatory Standard 08/21 (Outsourcing to Cloud Service Providers)
GDPR (General Data Protection Regulation) , Articles 30, 32, 33, 34
MAS TRM Guidelines (Technology Risk Management, Singapore)
HKMA TM-G-1 (Outsourcing Guidelines, Hong Kong)

What is NOT in this product

This playbook does not include software, code, or technical configurations for the Avaloq platform
It does not provide legal advice or replace engagement with qualified counsel
No consulting services, training sessions, or support calls are included with purchase
The templates are not pre-filled with institution-specific data or risk ratings
It does not cover non-Avaloq core banking platforms or legacy system decommissioning
There are no automated tools, scripts, or API integrations included
The playbook is not a substitute for internal approval processes or executive sign-off

Lifetime access and satisfaction guarantee

You receive lifetime access to the playbook with no subscription required and no login portal to manage. The files are delivered as downloadable documents that you can store, version, and distribute internally. If this playbook does not save your team at least 100 hours of manual compliance work, email us for a full refund. No questions, no friction.

About the seller

The publisher has 25 years of experience in regulatory compliance and operational risk management, specializing in financial services technology implementations. They have analyzed 692 regulatory, legal, and industry standards and built 819,000+ cross-framework control mappings. Their resources are used by over 40,000 compliance, risk, and technology practitioners across 160 countries, supporting governance in highly regulated financial institutions.