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Section 1: COO Deep-Dive Preparation

COO DEEP-DIVE PREPARATION

FINMA Authorization Interview — April 1, 2026

NUMBERS & FACTS YOU MUST KNOW BY HEART

Section 2: Risk Management & Reporting

PART A — RISK MANAGEMENT

R-01 [URGENT]: Mr. Dolhen, as COO and deputy Risk Officer, what would you do on a day when Cuong Phan is unavailable and the portfolio is approaching the VaR soft limit?

R-02 [URGENT]: Describe the complete daily risk reporting cycle at FFM — who produces what, at what time, and who receives it?

R-04 [HIGH]: What happens operationally the moment a drawdown hard limit of 12% is breached?

Section 3: Operations & Infrastructure

B.1 — Trade Lifecycle & STP Architecture

B.2 — Compliance Operations

B.3 — Business Continuity & Operational Resilience

B.4 — Valuation & NAV Process

Section 4: Quizzes

Quiz 1: FINMA Interview Preparation & Core Facts

Quiz 2: Risk Management & Reporting Cycles

Quiz 3: Drawdown Breaches & Escalation

Quiz 4: Trade Lifecycle & STP Systems

Quiz 5: Compliance, Resilience, & Valuation

Are you preparing for a rigorous FINMA regulatory authorization review. The "FINMA Compliance and COO Operational Management Deep Dive" is an intensive, highly specialized course designed to equip Chief Operating Officers, risk managers, and compliance professionals with the exact knowledge and operational frameworks required to navigate a FINMA deep-dive assessment successfully.

Are you preparing for a rigorous FINMA regulatory authorization review? The "FINMA Compliance and COO Operational Management Deep Dive" is an intensive, highly specialized course designed to equip Chief Operating Officers, risk managers, and compliance professionals with the exact knowledge and operational frameworks required to navigate a FINMA deep-dive assessment successfully. In the highly regulated Swiss financial market, demonstrating flawless operational readiness is not just an advantage—it is a strict requirement for fund management entities. This comprehensive program walks you through the entire Fourth Fund Management (FFM) deep-dive preparation process, ensuring you know the critical numbers, facts, and regulatory protocols by heart.

Throughout this course, you will explore the intricacies of advanced risk management, including handling Value at Risk (VaR) soft limit approaches, executing flawless daily risk reporting cycles, and managing the immediate operational steps required during a critical 12% drawdown hard limit breach. Furthermore, the course delves deep into the core of modern financial operations and infrastructure. You will master the complete trade lifecycle, Straight-Through Processing (STP) architecture involving key platforms like Enfusion, Innocap, and Marex, as well as stringent AML/KYC compliance operations. By mastering Business Continuity Plans (BCP), operational resilience, and complex Net Asset Value (NAV) valuation methodologies, you will be fully prepared to face FINMA regulators with absolute confidence. Step into your upcoming FINMA authorization interview fully prepared to demonstrate unparalleled operational excellence, robust risk mitigation, and unwavering regulatory compliance.

FINMA Compliance and COO Operational Management Deep Dive

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            <p>Navigating the rigorous regulatory landscape of the Swiss financial market requires a comprehensive understanding of the Swiss Financial Market Supervisory Authority (FINMA) and its mandate. This course provides a strategic deep-dive into the operational preparation required for the Fourth Fund Management (FFM) authorization process, specifically tailored for the Chief Operating Officer (COO). Participants will explore the intricate structure of the FFM preparation framework, the specific expectations placed upon the COO during regulatory reviews, and the critical thematic areas prioritized by FINMA regulators. By mastering foundational preparation strategies and memorizing essential operational metrics—including risk limits and organizational deputies—professionals can effectively demonstrate institutional readiness during high-stakes authorization interviews.</p>

<p>Beyond interview preparation, the curriculum extends into the technical execution of risk management and infrastructure oversight. Detailed modules cover the daily risk reporting cycle, the management of Value at Risk (VaR) soft limits, and the urgent operational protocols triggered by drawdown breaches. The course also examines the end-to-end trade lifecycle, highlighting the Straight-Through Processing (STP) architecture involving key partners such as Enfusion, Innocap, and Marex. Furthermore, it addresses vital compliance operations, including AML/KYC onboarding, personal account dealing policies, and business continuity planning. Through this rigorous exploration of valuation methodologies and operational resilience, the program ensures that the COO is equipped to maintain robust, compliant, and efficient fund management operations.</p>
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