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We Offer An interesting role as a member of the Controls and Monitoring ('C&M') team which focuses on a variety of control testing activities.
1. You are working in a dynamic and motivated team of business controllers with the overall purpose to strengthen the bank's control framework. 2. You are responsible to perform regular business controls and reviews with accuracy, consistency and good quality; and producing the results for reporting purposes in a timely manner. 3. You are partnering with Client Facing Employees, Front Office Management and other key stakeholders (e.g. Compliance, APAC and Location FLDS etc.) and acting as a control and review subject matter expert on various topics (such as Investment Suitability, Cross Border, Know-Your-Customer ('KYC') Anti-Money Laundering/Counter-Terrorist Financing ('AML/CTF'), Anti-Fraud etc.). 4. You are supporting Front Office Management (Market Group Head) in conducting regular and quality Supervisory controls in a timely manner. 5. You ensure that control results are being reported and shared with all relevant stakeholders, where the gaps/issues identified are being escalated on a timely basis. 6. Where gaps have been identified, you would provide suggestions on how they can be closed. Where areas of improvements have been identified, you would provide suggestions such as streamlining the existing controls for possible increased efficiency. 7. You ensure that control and review results are being validated and tracked on an ongoing basis.
You Offer 1. Fast learner with at least 3 - 6 years of experience in a risk/control or related function in the Financial Industry 2. Confident personality with experience in handling business and operational risk issues and control matters 3. Team player and a positive can-do attitude 4. Attention to details for producing accurate and precise control results 5. Has initiative to identify areas of improvements and gaps 6. Good client and service orientation, enthusiasm and flair to deal with various personality types 7. Effective communication and stakeholder-management skills, particularly in the ability to liaise with senior Front Office as well as other key stakeholders 8. Ability to work independently with minimal supervision, and to excel under pressure for meeting any tight deadlines 9. Good organizational and time management skills, including the ability to prioritize tasks 10. Front-to-Back banking process knowledge 11. Private Banking background and experience 12. Investment Suitability, AML/CTF (i.e. client review, transaction monitoring) and KYC (i.e. source of wealth plausibility checks) knowledge and experience 13. Familiarity with Financial Instruments and Exchange Act, JSDA Rules/Guidelines
Internal Number: 6129798
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