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Line Coverage Compliance Officer (CIG) - Asset Management # 115851
Credit Suisse -
September 15, 2018
New York, New York
Dynamic work environment.
Provide compliance advisory coverage for Credit Investments Group businesses in Asset Management.
Provide training to the businesses, both in-person and by compliance alerts.
Proactively produce and/or update and revise Compliance manuals, surveillance manuals, internal procedures, Compliance policies and alerts, on both a routine and as-needed basis.
Oversee surveillance activities performed by Central Compliance.
Routinely assess regulatory developments, inform key stakeholders of the developments and their impact on the firm and determine the appropriate actions to ensure the firm is positioned to comply with the new requirements.
Assist the dedicated Compliance Review Group in the execution strategic desk reviews.
Perform annual Compliance Risk Assessment, Conflicts Assessment, participate in business led Risk and Control Self-Assessment and identify and implement corrective actions to issues identified during this process.
Interface with Central Compliance functions as appropriate (Control Room, Bank Anti-Corruption, Registration, FCC, etc.) on matters relating to the firm's activities.
Collaborate with other control functions and members of the Legal department.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
5-7 years of relevant Asset Management Compliance experience.
College degree, J.D. a plus.
Solid knowledge of Investment Advisors Act, Investment Company Act, FINRA, ERISA, Securities laws and regulation.
Work experience at major financial institution/global financial services firm a plus.
Good critical thinking skills and effective challenge of business and compliance controls and procedures.
Ability to lead and execute multiple projects (short and long term) and tasks and deliver high quality, accurate work product on time.
Very good communication skills, both written and oral.
Familiarity with Microsoft Excel, PowerPoint and Word.
Familiarity with the SEC and FINRA requirements associated with the review and approval of marketing/advertising materials.
Self-starter with an ability to work independently with little direction or oversight.
Ability to identify control weaknesses and design corrective measures.
Proactive and good leadership skills.
Ability to work in fast-paced and complex environment.
Active engagement in the development and execution of effective monitoring and testing programs.