AVP Compliance Officer – Transaction Monitoring – Control Room – Review recruitment

This role will form part of a team of 5 local compliance officers who will be responsible for Compliance reviews in the UK. This is a AVP level hire and you will report to the Head of the Compliance Review team. Compliance reviews will include reviews within the Investment Bank, Private Bank, Asset Management and Shared Services. Specifically, this will include desk reviews, themed reviews and a number of other internal reviews of the Compliance department.

The candidate will be responsible for:

• Trade monitoring and surveillance programme.

• Produce the monthly compliance bulletin, detailing any regulatory changes applicable to the firm.

• Conduct reviews of the firm’s various functions in relation to any recent regulation and performing a gap analysis to rectify any issues.

• Track the completion of these issues and implementing any necessary recommendations.

• Liaise with different areas of the business to escalate any applicable compliance issues.

• Deal with any compliance related questions/issues from the trade floor.

• Deal with any Exchange/regulatory enquiries.

• Work with advisory compliance and legal counsel to provide comments on Global Capital Markets deal related research guidelines and review pre-deal research.

• Review surveillance for potential insider trading, front running and breaks of the Chinese Wall by the Firm and by employees and review surveillance for breaks of the Firm’s Watch and Restricted List policies.

• Participation in the development of the Global Monitoring and Surveillance project

• Perform regulatory reviews in accordance with the compliance monitoring plan to identify regulatory risks.

The candidate will be expected to undertake this role for a minimum of 2-3 years. In that time, it is expected that the candidate will drive the development of the Compliance review team, build strong relationships with Line Compliance and the Business. 

Qualifications   

•      Proven experience (preferably in Investment Banking (Securities and/or Control Room related experience)

•      Capacity for hard work, enthusiastic and a person who cares about what they do and the difference they can make

• Strong working knowledge of EMEA regulatory rules and regulations.

•      Accountable for any processes or projects and tries to deliver ahead of time

•     Articulate clearly both orally and in writing. The ability to produce high quality, well researched written work is vital to this role as is the ability to communicate clearly and succinctly with senior management in the business

•     Inquisitive, knows what question to ask and tenacious when something does not sound right

•     Attention to detail and well organized

•     Knows own limitations and escalates appropriately

•     Exercises good judgement

•     Has high ethical and control standards, commensurate with working in a critical control function

•      Self starter

•     Willing to undergo on-the-job and more formal training for career development

•     Proactive and solution-oriented person and a strong communicator within a hierarchical structure

•    Team-player who likes to share knowledge and ready to learn from others

•    Proficient user of IT-tools

•    Degree level education preferred, good academic record 

Divisional/Departmental Overview 

This role is within the Central Compliance Group (CCG). The mandate of the CCG is to establish, enforce and monitor global compliance standards and policies in a centrally managed and independent compliance function, and to provide such subject matter expertise across the mandated CCG areas as may be requested/required.

CCG works with the Regional General Counsels, Regional Chief Compliance Officers, ACG, CLG, Litigation and Regulatory Affairs to drive global consistency, efficiency and execution of the overall LCD mandate and Vision, appropriately aligned with (i) the bank’s business operations strategic development objectives and (ii) the expectations of regulatory stakeholders. 

Candidate Value Proposition 

Exposure to all Divisions across the Bank, and the ability to actively contribute to the development of the team and its methodology

Company Profile 

As one of the world's leading financial services group, Credit Suisse provides its clients with investment banking, private banking and asset management services worldwide.  Founded in 1856, Credit Suisse has a long tradition of meeting the complex financial needs of a wide range of clients, offering advisory services, comprehensive solutions and innovative products to companies, institutional clients and high-net-worth private clients globally. The Credit Suisse Group is active in over 50 countries and employs approximately 40,000 people.  

Cultural diversity is essential to our success.  As such, we employ people from more than 100 countries. Credit Suisse empowers employees to work openly and respectfully with each other and with clients, ultimately striving to deliver superior results while offering initiatives and programs to assist employees achieve a healthy work-life balance. 

Credit Suisse is an Equal Opportunity Employer and does not discriminate in its employment decisions on the basis of any protected category.

To the extent permitted or required by applicable law, a candidate who is offered employment will be subject to a criminal record check and other background checks before the appointment is confirmed.