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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 Financial Crime Compliance Investigator is responsible for performing AML Investigations of account activity conducted by Credit Suisse clients, and recommending the filing of Suspicious Activity Reports (SARs) and/or relationship termination, as appropriate. Cases are worked from beginning to completion according to the firm's AML procedures and policies.
Document and report the investigation findings and prepare case files for review (e.g. media search results, review of trade and/transaction, copies of statements, results from internal system searches etc.)
Communicate with internal/external entities, including other Credit Suisse AML monitoring units.
Collect and examine financial documents to assist in identifying unusual transaction patterns.
Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.
Write and file Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required.
Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues.
Manage and document all research and analysis conducted in the Case Management System.
Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.
Coordinate with other FIU units, the Business, Surveillance teams, and Law Enforcement, where applicable.
May provide direction to more junior staff.
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.
Bachelor's Degree Required or equivalent experience
6+ years' experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or fraud investigations; direct securities industry experience preferred.
4+ years' experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements and/or performing AML or financial investigations.
Proven experience in a financial institution with job specific work experience in AML
Detailed knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements.
General understanding of Senior Public Figures, Money Service Businesses, Wealth Management, Institutional Markets, and Banking/Brokerage preferred as well as compliance with those business segments.
Proficient understanding of complex financial products and transactions including equities, fixed income securities, derivatives, prime brokerage, DVP/RVP, private placement, asset management, hedge funds, security transfers, etc.
Outstanding organizational, time management and problem solving skills.
Excellent research skills including experience with online search tools.
Advanced proficiency in Microsoft Word, Excel, Access, Power Point and Outlook.
Strong attention to detail, analytical and communications skills. Must be able to multitask and complete projects on time. Ability to understand and draw conclusions from research conducted
Should be a self-starter, result oriented and hardworking with the ability to learn quickly
Series 7 and/or other FINRA registrations preferred
CAMS certification is a plus!
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.