Equity Compliance Officer

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

Equity Compliance Officer

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...
The Compliance Officer in this position will be responsible for the compliance coverage of "Exchange Products" business (electronic trading), and sits on the trading floor.

The key roles and responsibilies of the position are the following:

  • Provide real-time advice/guidance on compliance and regulatory related matters to Exchange Products
  • Design and deliver training on regulatory, compliance policies and procedures to front office
  • Promote compliance awareness across the businesses
  • Perform compliance risk assessment and second line challenge to electronic trading business
  • Develop compliance program for Exchange Products and compliance policies and procedures
  • Communicate with regulatory authorities, incidents investigations and escalation


You Offer...
The candidate should be knowledgeable of exchange regulations relating to equities trading generally and have relevant compliance experience covering Exchange products including electronic trading.
  • Degree holder in IT, Accounting or related disciplines
  • Minimum 6 years compliance experience in a global investment bank or regulatory body
  • Excellent knowledge of rules and regulations relating to equities
  • Products/market knowledge of equites and/or electronic trading
  • Ability to independently drive responses to regulatory/exchange compliance issues/queries
  • A good awareness of controls and governance
  • Self-motivated, a team player and results orientated
  • Ability to work in partnership with business, shared services and other members in Legal and Compliance in the region
  • Outstanding interpersonal and communication skills.
  • Experience with regulator in Licensing or Intermediary Supervision and advantage but not a must


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