Regulatory Operations Specialist
Core
Develop, implement, and evaluate processes to ensure business goals and cost requirements are met for fund management operations.
Role type
Regulatory Operations Specialist
Builds
Client onboarding, fund document publication, and registration processes for foreign funds
Domain
Financial Services / Fund Administration / Regulatory Compliance
Required skills
Regulatory compliance, client onboarding, legal document management, data validation, FINMA invoice processing, static data population, competitor analysis
Preferred skills
Advanced English, MS Office proficiency, attention to detail
Technologies
MS Office, FINMA systems
Responsibilities
Onboard and manage Qualified Intermediary (QI) clients; Prepare Representative and Paying Agent Agreements; Manage publication of fund documents and legal materials; Set up and onboard new client data; Assist in registration and listing processes for foreign funds; Conduct 1st and 2nd-level checks on FINMA invoices and notifications; Populate and validate static data from legal documents; Maintain client portfolio and provide monthly Competitors Statistic reports.
Seniority
Junior, individual contributor