APAC Equities Trade Surveillance and Monitoring

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Credit Suisse Asia
  • 30 Sep 16

APAC Equities Trade Surveillance and Monitoring

Credit Suisse Company Overview Credit Suisse is a leading global wealth manager with strong investment banking and asset management capabilities. Founded in 1856, Credit Suisse has expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, we are set for growth. We partner across businesses, divisions and regions to create innovative solutions to meet the needs of our clients-and to help our employees grow. It is a high priority for us to continually invest in our employees by providing ongoing opportunities for training, networking and mobility. Join us and let's shape the future of Credit Suisse together.

We Offer...
This position will support the Monitoring, Surveillance & Testing team to effectively detect potential market misconduct and manage compliance risks within the Global Markets - Equities division.

Primary responsibilities include perform investigation on trade surveillance alerts, provide day to day supervision to a team based in Poland who are acting as first level reviewer. All incidents will be escalated to APAC Product Compliance team based in Hong Kong and to the relevant Country Compliance Officers.

Main Duties and Responsibilities:

Responsibilities will be to:

  1. Perform supervisory review of surveillance work done by a Poland CoE team, ensuring alerts are escalated, analysed, and cleared properly in a timely manner, documentation of alert conclusion and proper record keeping Investigate cases escalated, including driving discussions with traders/Desk Heads, collating market information to analyse alerts
  2. Advise and evaluate on parameters set for surveillance scenarios, ongoing review on adequacy of surveillance coverage and on new regulations
  3. Respond to Product Compliance's request or queries for information in relation to trades to help identify possible misconducts
  4. Provide compliance trainings to Poland CoE team on detailed procedures for surveillance scenarios, highlighting the risks and common issues
  5. Assist in regulatory and exchange visits and investigations, internal investigations, and other forms of review relating to Equities Trade Surveillance and Monitoring
  6. Ad hoc projects as part of the Monitoring and Surveillance Team

You Offer...
  • At least 5-7 years of relevant surveillance/monitoring/review/audit work experience
  • Analytical, attention to details, be able to spot and document irregular trends and patterns
  • Team player, ability to work in partnership with business
  • Ability to multitask, prioritize and meet deadlines
  • Disciplined and systematic in review approach and record retention
  • Methodical and detailed in documentation and follow through on issues and cases
  • Good product knowledge on listed and structured products

EEO Statement
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.