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The Risk & Controls Group (RCG) within our Investment Banking and Capital Markets (IBCM) division helps to ensure the IBCM business is compliant with rules and regulations, and with Credit Suisse (CS) policies and procedures. RCG does this by assessing risks, implementing and monitoring controls, analyzing, implementing and remediating new rules and regulations as well as audit points. The RCG role is responsible for proactively managing key control functions as well as facilitating the understanding and implementation of regulatory policies and procedures in IBCM. Specific risk and control responsibilities include: maintaining the control framework, designing and implementing new controls as necessary, test checking the efficacy of controls, monitoring bankers and their activities to detect control breaches, writing policies and procedures, client on boarding (KYC) and training bankers to be compliant with the rules and regulations.
The core responsibilities of RCG serve as the platform from which RCG will look to grow globally and become a central point in ensuring appropriate compliance, industry regulations, and internal guidelines and procedures are set in place for the IBCM business. Data accuracy, liaising with various groups and regulatory maintenance are just a small number of key roles assumed by the group. The importance of these centralized roles is demonstrated daily with the group's ability to prioritize workflows and to acclimate to the changing regulations and laws. The group also excels in a fast-paced and high-pressure environment engaged with Global / Regional / Functional Heads supporting the development and delivery of high value-add client management information systems (MIS). Successful individuals will be able to utilize a combination of business, product, regulatory and technical expertise to partner with IBCM management and investment bankers to ensure a meaningful and working risk and control environment. Individuals need to be able to manage projects and responsibilities across functional teams, ensuring that risk and processes are well controlled. Professional communication at various levels in the organization, relationship management, and analytics skills are keys to success. The professional objective is to develop general management and business administration skills and responsibilities.
You will develop and generate management information reports to keep management apprised of KPIs, KRIs and other risk and control data points
You will retain and record legal documentation related to IBCM transactions
You will support and contribute to Risk & Controls management initiatives
MI Reporting to key management across IBCM including working with management in other regions
Presenting thoughtful ideas around different ways to report risk metrics
Leveraging software such as Alteryx and Tableau to identify current processes that can be more efficiently performed
You will maintain risk and controls procedure manual and provide updates accordingly
You will perform controls testing on IBCM Key Control
Administer the Global Risk & Controls Framework, RCSA, BRCM, and related activities and governance
You will support IBCM on audit and audit remediation requests from internal audit and external regulators
Manage ongoing business compliance and regulatory requirements
Lead the development and implementation of policies and procedures designed to adapt the business to changes in regulation
Lead business control projects by coordinating with senior leadership across the firm, including business change projects, data management, operational risk management, reporting improvements
Support various litigation and legal inquiries that relate to compliance and reputational risk
Supervise financial registrations, personal trading accounts, block leave, and mandatory e-learnings
Monitor Cross Border activities for bankers conducting business in different countries in addition to preparing ad hoc cross border travel reports
You will collaborate with bankers and compliance staff ensuring the completion of client onboarding and KYC processes for all IBCM transactions
Identify potential risks that particular clients may pose by working with bankers and compliance to mitigate these risks
Monitor client onboarding policy changes and communicating such updates to relevant bankers
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
You have completed undergraduate degree, business, accounting or related field preferred
You have 2 to 3 years (preferred) experience with compliance reporting, risk/control initiatives, experience with virtual teams
Are you a self-starter and strong team player
Do you have the ability to complete reporting/projects under strict deadlines
Solid analytical and analytical skills
You have strong attention to detail
Strong writing skills
Strong communication skills, ability to understand business strategy/constraints and partner with other areas of the firm to integrate business views with those of other areas of the Investment Bank
Strong Microsoft Office, Excel, PowerPoint and Word skills
You have the ability to build and run reports for management with an ability to summarize and articulate data
You have strong interest in financial markets and Investment Banking industry
Flexibility to adapt to new business needs from internal policy and regulatory changes
You have an experience in project management
You have superior time management, ability to prioritize responsibilities and remain organized in a high pressure environment
Knowledge of Investment Banking, and/or Wealth Management industries preferred
Knowledge of financial regulations in particular those relevant to Investment Banking
Six-Sigma / Lean Process Excellence mindset to perform root cause / response analysis is a plus
Knowledge of Alteryx, Tableau and Blue Prism preferred