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Operations

The Operations division is in charge of the central support processes at FINMA.

The Information and Communication Technologies section (O-ICT) is responsible for the installation, expansion and operation of all elements of FINMA's IT and telecommunications infrastructure. O-ICT operates a service desk that provides first-level support to FINMA employees and organises training courses. In line with strict project governance, the Section also manages FINMA-wide project portfolios, and directs the controlling and reporting of all FINMA's organisational and infrastructure projects. O-ICT is also in charge of data protection and information security.

Human Resources (O-HR) handles all personnel-related services. This includes ensuring the efficient performance of its administrative duties and processes, workforce recruitment, target-setting, staff performance evaluation process and staff controlling. O-HR is also responsible for developing and implementing strategic staffing measures in cooperation with the other divisions at FINMA. Such measures comprise workforce and succession planning, potential analysis, and management and staff development. In addition, O-HR is the first port of call for employees. It advises managers on all HR matters and provides them with the tools they require.

The Finance group (O-FIN) is responsible for annual financial planning, regular financial controlling and annual reporting. O-FIN is also in charge of liquidity planning related to supervision fees and charges, and the expenditure side. O-FIN undergoes an annual audit by the Swiss Federal Audit Office (SFAO) to confirm that FINMA's financial statements meet IFRS standards and the maturity level of financial processing required for the internal control system.

The section Facility Management and Procurement (O-FMB) handles all tasks relating to document management (incoming and outgoing mail, scanning and archiving), buildings management (maintenance, security and cleaning), administration and procurement of office stationery and furniture, the library, the staff restaurant, the client reception desk and the telephone switchboard. O-FMB is also responsible for personal safety, property protection and ecological office services.

Enterprise Risk Management and Internal Control System (O-ERM) manages the FINMA internal risk management process under strict risk governance that includes the Board of Directors, the Executive Board and FINMA employees. Risks inherent in the categories Risks, Legal risks, Reputational risks and External risks are regularly brought to light and assessed, and risk-minimising measures are put forward. This is closely linked with the frequent examination and assessment of internal controls which are part of the business processes relevant to the Internal Control System (ICS). O-ERM is also responsible for establishing a concept for and planning Business Continuity Management. All ERM's areas of responsibility form an important basis for the activities linked to internal and external audits.

The group Change and Process Management (O-CPM) ensures that changes in the FINMA's structural organisation, its operational infrastructure and systems are coordinated and checked on a FINMA-wide basis. O-CPM also assures that process governance is in line with the supervisory authority's business processes and that such processes are categorised, documented and assessed appropriately.