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Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.
We Offer A department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards
The FCC Investigations team has an exciting ground floor opportunity for a person looking to take our investigations program to the next level as the Controls Officer. In this position, the candidate will inherit our existing controls infrastructure and will have the ability to build out our controls, processes and procedures to ensure we are operating in a sound and efficient manner.
Functional Responsibilities include:
VP: Controls Officer
FCC Investigations team is looking for a Controls Officer to support the Director in ensuring that investigations and related processes are conducted with a high degree of accuracy, in line with regulatory expectations and most importantly, in manner that will mitigate the risk of financial crimes occurring through CS. Primary responsibilities include:
Continuously enhance existing controls and procedures based on the changing regulatory landscape
Conduct Quality Assurance reviews on investigation case file to ensure accuracy and completeness. Track the remediation of cases as needed
Develop and manage Key Performance Indicators data on Investigators and the department to determine areas in need of additional training and/or improvement
Monitor ongoing investigations to ensure case files are up to date
Prepare weekly, monthly and quarterly MI
Manage the development of training materials
Assist with the production of audit deliverables
Bring up the identified risks real-time
Maintain accurate registration with regulators (e.g. 314(b))
Contribute to employee performance reviews information
Represent the team at functional and divisional management meetings, work as a partner with senior management
This role requires a detail oriented self-starter who can operate independently. Having excellent analytical, organizational, time management skills to go along with outstanding written and verbal communication and people management skills is a must. The ideal candidate would possess the following qualifications and skills:
Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.
4 year College degree
8+ years of Audit or Compliance controls related experience in a comparable role in the banking/brokerage industry
Experience in the development of quality assurance controls
Familiarity/experience with AML related regulations (Bank Secrecy Act, USA PATRIOT Act)
Proficient Microsoft Office skills (PowerPoint, Excel, Word)
Understanding of Broker Dealer related investigations (e.g. insider trading, market manipulation)
Certifications (e.g. ACAMS, Series 7) are a plus!
Detail oriented with outstanding interpersonal and problem solving skills
Flexibility to adapt to short term changes
Hardworking with a proactive approach, ability to learn, willingness to suggest and craft new ideas
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Credit Suisse complies with applicable federal, state, and local laws prohibiting discrimination in employment in every jurisdiction in which it maintains facilities. Subject to applicable law and regulatory requirements, Credit Suisse complies with state and local laws regarding considering for employment qualified individuals with criminal histories.