Surveillance Manager (Junior Compliance) French/English 100%

Mandated by a major financial institution, we are recruiting:

Within a team of three people, you will be responsible for the administrative follow-up of files before and after their admission (affiliation, transfers, AML reports, investigations, sanctions, etc…), routine surveillance and audit report control, in direct contact with the case officers, the Admission Commission, the Surveillance Commission and the director.

This position requires good knowledge of Swiss regulations, ideally AML, the Financial Institutions Act (FinIA) and the Financial Services Act (FinSA). Experience in compliance activities, risk management in banking or asset management, as well as good knowledge of financial statement analysis of companies is important. Training and residence in Switzerland are required.

Your Mission:

Processing files of financial institutions and auditors Analysis of asset managers, trustees, etc. files

(Regulatory aspects):
Subjecting financial institutions:

• Use the FINMA EHP database;
• Prepare files for review (printing and filing documents);
• Contribute to the review, analysis and verification of compliance with regulations of FINMA authorisation application files.

Surveillance of financial institutions:

Contribute to the review, analysis and verification of requests for changes to financial institution files submitted on the EHP platform; Participate in the review, analysis and verification of prudential audit reports submitted by auditors, as well as follow-up on the regularisation of financial institution files;

Participate in various routine surveillance tasks (in-depth file analysis and clarification);

Auditor accreditation:

• Participate in the review and renewal of accredited auditor files

IT and databases:

a) Participate in maintaining databases and updating information on subject financial institutions and accredited auditors on IT platforms;

b) Use Microsoft 365 (Word, Excel), the internal CRM, videoconferencing tools and the FINMA EHP platform.

Your skills:

• Bachelor’s degree in law, HEG or Compliance Certification
• At least 3 years’ experience in audit or compliance in Switzerland (financial institution experience an asset)
• Fluent French and proficient English (German or Italian an asset)
• Proficient with common IT tools (MS Office)
• Analytical and methodical mindset
• Integrity, rigour, with a sense of discretion
• Available, versatile, curious, organised with good adaptability skills.
• Impeccable presentation

Residence in Switzerland mandatory

Start date: to be agreed.

Applications not meeting the stated requirements will not be considered. We guarantee absolute discretion in the handling of submitted applications.