We Offer The Chief Compliance and Regulatory Affairs organization at Credit Suisse strives to become a proactive, independent function that enables business units across the organization to challenge and effectively manage compliance risk. Our new management team is focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite. To fulfill our mandate we need the skills, experience and engagement of our employees. Our dynamic environment also means that you have the flexibility to help us define and establish new processes and procedures, start or expand a business and shape our company for the future. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.
Supporting the senior members of the Compliance Coverage team in providing advisory compliance support to the Equity Derivatives and Fixed Income Investor Products,. Examples of advisory matters include:
New business projects relating to specific transaction.
Business specific initiatives such as new product launches.
Participating in and/or in the development governance processes
Business catch ups with Senior Management (Trading, Sales, COO).
Providing advice on the application of global compliance policies, exchange rules and regulations.
Advising on new and existing products and all regulatory activities relating to product design and distribution specifically, retail and institutional product governance, inducements, conflicts of interest, distributor due diligence questionnaires.
The review of product/service-related materials such as marketing materials, term sheets, presentations and product brochures and disclosures relating to inducements.
Working with Legal, Compliance colleagues and other support staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters.
Liaising with Core Compliance colleagues on ABC, Cross Border, Control Room (MNPI/restricted list) Financial Crime matters.
Participating in regulatory change affecting the businesses, ensuring appropriate collaboration across General Counsel, Shared Services and the Business and assisting the business with implementing the new regulation in a robust and controlled manner.
Participating in the annual Compliance Risk Assessment Process.
Identifying regulatory or reputational risks and escalating to management for resolution.
Acting as a challenge and control function to the Business on compliance related matters including the business owned Risk & Control Assessment and undertaking Compliance testing/quality assurance of certain processes and activities Assist in the preparation off/delivery of regulatory training to the business.
Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business.
Open to discussing flexible/agile working.
Prior Compliance advisory experience from a wholesale markets background Degree educated or equivalent and financial services industry qualifications preferable.
Excellent written and communication skills.
Awareness of key of UK and European regulation
Enthusiastic and key to learn
Ability to think outside the box and provide creative solutions.
Be able to multi task, prioritize and work to deadlines in a pressurised environment.
Credit Suisse is committed to providing equal employment opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law.
Kabir Kuhinoor would be delighted to receive your application.
Please apply via our career portal.
Internal Number: 4870954
About Credit Suisse -
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