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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, developing surveillance and testing processes and by aligning controls to keep risk within appetite. To fulfil 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.
We provide support to the Head of UK Global Markets Compliance (Equities) in ensuring the Cash Equities businesses understanding of external regulations and internal policies is kept current through the provision of high quality advice based upon current regulatory requirements, market practice or internal policies and procedures as they apply to the business.
We act as the primary Compliance adviser to the Global Markets Cash Equities business. In partnership with the business and other risk functions we design and implement controls to protect the bank from those risks (prevention).
To independently monitor the banks compliance with relevant laws and regulations, internal risk policies and the bank regulatory appetite (Monitoring and Detection).
Reporting matters that warrant attention on the effectiveness of the controls in the management of the bank's exposure to those risks (Reporting).
To resolve compliance difficulties as they occur (resolution).
To advise and provide mentorship including training on the interpretation of regulations the delivery of operations in alignment with the banks risk appetite (advisory).
Support the Cash Equities business in the execution of its activities in a regulatory complaint manner and in observance of the external regulatory requirements and internal policies, etc.
Provide and develop a robust and effective 2nd line of defense through effective challenge and act as a guardian of the banks.
You will have responsibility for regulatory, ethical conduct and reputation and raise matters appropriately to the proper level of seniority.
Act as dedicated emissary of conduct risk promoting the values of the bank and raising appropriate challenge or taking positive action where there is evidence or solid likelihood of customer detriment or impact to market integrity arising from the conduct of Credit Suisse or its employees.
Provide assistance with Compliance Surveillance escalations (including sign off) and reporting of suspicious transactions and orders for the area of product coverage responsibility.
Participate in the Compliance Annual Risk Assessments for the Cash Equities business.
Show experience acting in an advisory capacity dealing with front line sales and trading staff.
Delivery of Compliance face to face training to all members of the Cash Equities front office.
Carry out 2LOD monitoring functions such as Best Execution and Volcker monitoring.
Open to discussing flexible/agile working.
2 years + experience in a Compliance Advisory function and/or market supervision role.
Excellent knowledge of the cash trading environment.
Thorough knowledge of the FCA's rules and regulations and Exchange rules.
Ideally educated to Degree level.
Excellent interpersonal skills combined with strong character.
The candidate should be confident, able to use their initiative and possess good judgement, analytical, communication and organisational skills.
You will be able to demonstrate a consistent track record of acting with integrity.