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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 The Chief Risk and Compliance Officer (CRCO) function was created in 2020 through the combination of previously separate Risk and Compliance functions, to further enhance the effectiveness and efficiency of our control environment amid stricter regulatory frameworks. The responsibilities of CRCO include Risk, ranging from Enterprise Risk management to risk and finance reporting, and regional risk teams covering the risk management for our entities, and Compliance, focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite. The success of CRCO depends on our ability to achieve our vision and fulfil our mandate, which in turn depends on the skills, experience and engagement of our employees. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.
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.
We are offering an excellent opportunity to join a fast paced and challenging role in the EMEA Control Room based in London. The role involves exposure to all areas of the organization with particular focus on compliance issues relating to Information Barriers, Conflicts, Research and Trading activity. The successful candidate will be used to working to tight deadlines and will be comfortable communicating with all levels within the organization. The candidate will have exposure to complex compliance issues and have a genuine enthusiasm to learn and develop within the role.
The role will be at AVP to VP level.
Specific duties will include:
Provide guidance to research, investment banking, capital markets and other compliance personnel relating to Information Barriers and applicable laws and Bank policies.
Maintain the Watch and Restricted Lists (i.e., obtaining timely updates from Investment Banking and Capital Markets personnel and making determinations with respect to imposing restrictions on the firm's Research and/or Trading activities)
Review cross-divisional conflicts submissions working with other business partners including Investment Banking and Legal;
Advise on Compliance issues, coordinate escalations; produces metrics for various business partners
Development and implementation of Bank policies and procedures relating to Information Barriers
Review of research publications to identify potential conflicts of interest and taking into account applicable laws and Bank policies regarding dissemination of research.
Review and implement Over the Wall requests
Assist in maintaining and updating compliance manuals, policies and procedures.
Assist in preparing and presenting Compliance training programs.
Development, testing and implementation of the Control Room Systems.
Manage multiple tasks in a fast-paced environment
This role is open to discussion regarding flexible / agile working.
A basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank or experience working for regulator, law firm or other regulated financial services firm. Solid compliance experience or other relevant financial services experience. Educated to degree level in a subjects such as Law, Economics or Finance. Relevant financial services experience will also be considered in lieu of academic qualifications. Solid understanding of financial regulations strongly preferred including MAR, MIFID, FCA COBS (in particular rules relevant to research analysts) SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, Global Research Settlement. Excellent analytical and process management skills, with flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines. Proactive, result oriented well organized with attention to details Excellent interpersonal, communication and presentation skills with an ability to communicate with all levels of management in a professional manner. Hardworking with outstanding written and verbal communication skills Proficiency in Microsoft Office products (Word, Excel, Outlook & PowerPoint, as well as the ability to quickly learn other computer applications. You understand the value of diversity in the workplace and are 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. Credit Suisse is committed to providing equal employment opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law.
Credit Suisse is committed to providing equal opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law. Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success