33 days ago on alecallan.com

Monitoring and Surveillance Officer

Alec Allan & Associés SA

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Monitoring and Surveillance Officer

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Monitoring and Surveillance Officer

On behalf of one of our clients, an international bank based in Geneva, we are looking for a: 

Monitoring & Surveillance Officer


Risk assessments

  • Identify legal and regulatory requirements and risks arising from them.
  • Identify new and emerging risks from business and regulatory developments and assessing their impact on the monitoring programs and plans.
  • Performing the compliance risk assessments on a regular basis and updating risk assessments at the completion of monitoring reviews.


  • Execute monitoring/surveillance activity including scoping, planning, resourcing, execution and follow-up of sometimes complex, multi-jurisdictional reviews.
  • Participate in monitoring visits to business units and central functions in line with the agreed plan.
  • Discussions with management in order to agree on findings and recommendations.
  • Adhere to the Monitoring & Surveillance procedures including recordkeeping and documentation requirements.
  • Ad-hoc reviews and drafting appropriate written or verbal reports as requested by compliance management.


  • Practical experience of an appropriate risk based approach to monitoring/surveillance (gained either in Audit or Compliance monitoring).
  • Sound knowledge of Financial Services Authority or other regulatory body rules and regulations with specialist technical knowledge as above.
  • Extensive experience, preferably in private client or investment management businesses.
  • Fluency in English is required. Proficiency in other European languages would be a plus, mainly French.
  • Broad base of Compliance knowledge or the willingness to learn the regulatory requirements for a number of business areas.
  • Ability to multitask or manage a number of reviews at the same time.
  • Interviewing skills and the ability to present negotiate and influence effectively.
  • Ability to provide information in report format with strong written skills.
  • An inquisitive mind, with the ability to assimilate and interpret information quickly.
  • Recommend practical solutions or actions which add value to the business.
  • Flexibility to travel frequently.
  • Willingness to work in isolation and under pressure in order to meet deadlines.
  • Strong interpersonal skills enabling effective communications, written and oral, at all levels.



Kindly note that only qualified applications will be considered and contacted. Thank you for your understanding.