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We Offer The incumbent will be primarily responsible for managing and leading Compliance reviews. This will include:
Scoping and determining appropriate methodology for reviews.
Conducting interviews with relevant partners, including the Business.
Performing testing and documenting results.
Identifying issues, determining root cause, and proposing commercially viable solutions to mitigate risk.
Tracking issues to ensure they are closed out appropriately and in a timely manner.
Working closely with line/product compliance.
Communicating review results clearly and succinctly with senior management in Compliance, Legal the Business, and global colleagues, as applicable.
Ensuring the Compliance Review team creates good working relationships with the Business, Audit and other control functions.
Drafting, reviewing and revising existing procedures and dedicatedly improving processes as necessary.
Expected to undertake this role for a minimum 2-3 years; work independently, take ownership of specific compliance reviews, and bring them to conclusion, while establishing solid relationships with Line Compliance and the Business.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
Bachelor's Degree strongly preferred
JD/MBA preferred but not required.
3-6 years of Compliance, Regulatory, Audit, or Consulting/Advisory experience within a bank, investment adviser, broker dealer, federal agency, or financial services/consulting firm, including experience with institutional products and Asset Management (preferred) or Investment Banking.
Strongly preferred: knowledge of Investment Advisers Act of 1940, and Investment Company Act of 1940.
Internal Number: 4556715
About Credit Suisse -
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