Client Regulatory Diligence Manager recruitment

Client Regulatory Diligence (CRD) is a global team within the Front Office focused on ensuring that all client identity records and accounts are maintained in compliance with US and UK regulatory rules and internal CS policies and procedures. The team assists in prioritizing workload, offering guidance and support to KYC supporting functions, identifying and resolving blockages in any KYC support function and providing support on initiatives to improve the quality of client static data available to sales and trading across the firm’s databases. Primary coverage currently being US/UK Credit Suisse trading entities.

In addition, the CRD team is a key player in all new regulatory initiatives that affect the Front Office. Current initiatives are Dodd Frank, FINRA 2111 Suitability, FATCA, FINRA Large Trader ID and OATS.

Know your customer (KYC) is integral to the account opening processes in both UK and US. This role is to ensure (a) the standard data review process operates properly; (b) reviews are performed to the appropriate standard; and (c) relevant groups with CS complete process steps to conclude reviews and/or resolve any issue arising. Firm has an obligation to keep this information up to date and accurate. CRD exists as Front Office representatives to ensure that the KYC review process operates properly addressing all regulatory requirements.

Responsibilities:

-Subject Matter Expertise support of all groups involved in KYC regulatory matters
-Provide guidance support on implementing current internal and external regulatory policies and procedures with regards to Know Your Client/AML. This includes, but not limited to KYC Reviews, IBO PAC.
-Provide guidance support on implementing changes required as a result of new regulations (i.e. FATCA, Dodd Frank)
-Assisting with process improvements to gain greater efficiencies between all relevant groups involved with regulatory matters without compromise to quality and customer service.
-Provide remediation guidance/support that may arise through regulatory changes or audits
-Support Client Data Management globally in performing all aspects of work associated with the KYCS Review process
-Provide advice and full assistance to FID, Equities and Prime Services sales and trading personnel on processes as required
-Maintain and develop MIS Reports on process, liaise management on due-diligence processes

Requirements:

-Bachelor's Degree
-Experience with financial services KYC/anti-money laundering regulations
-Knowledge of anti-money laundering controls in the UK US
-Proficiency in MS Office applications
-Great attention to detail
-Strong organizational skills
-Strong interpersonal skills
-Verbal and written communication skills