Compliance Director - Equity Derivatives

  • General Counsel Division provides legal and compliance support to all business divisions and Shared Services functions across all regions of the bank. Our goal is to protect the reputation of Credit Suisse by ensuring that employees have the necessary tools and know-how to comply with all applicable internal policies and external rules and regulations. We support all areas of the business as they undertake the important task of managing their legal and regulatory risks. In addition to our advisory role, we develop and issue policies, conduct compliance training and perform monitoring and surveillance activities.

  • Directs the development and implementation of processes and procedures to ensure the business line's compliance with all regulatory, governmental and Company rules, regulations, policies and standards. Oversees compliance reviews, develops and disseminates information appropriately.

  • Directs structured and ad-hoc surveillance reviews for compliance with legal rules and regulations and company policies and standards (e.g., monitoring of business activities, investigations of alleged breaches or customer complaints).

  • Develops and implements compliance reference information, documentation and training materials for business colleagues on Firm Policy and procedures and on the regulatory and legal environment.  Prepares local compliance procedures for business line use.

  • Provides an expert level of advice and counsel with respect to business transactions (e.g., legal / regulatory ramifications of undertaking particular transactions, guidance on Global / Regional / Local compliance policy in relation to employee conduct / trading.

  • Represents Credit Suisse to outside regulatory and governmental organizations. Acts as main point of contact for regulators with respect to queries, investigations and inspections. Prepares and reviews regulatory correspondence, such as required reports.

  • Participation in new business projects.

  • Monitors and advise business units on regulatory issues, real-time trading and sales questions, and technology improvements and initiatives.

  • *LI-CF1*

     



  • Ability to apply in-depth knowledge of business processes and procedures, governmental and regulatory agency guidelines, laws and requirements, and expertise in compliance methodologies to the analysis of current processes and procedures.

  • Ability to communicate complex or difficult concepts and negotiate and influence others to adopt different points of view.

  • Ability to prioritize activities. Ability to manage multiple work streams to achieve departmental goals.

  • Ability to assess complex problems and apply non-routine analytic processes and tools to draw conclusions. Ability to evaluate qualitative information and synthesize analysis to make recommendations.

  • Challenges status quo and contributes to change. Stretches themselves and others to manage things forward.

  • Shows true concern for compliance and control standards, protects the bank's reputation and earns our clients' trust. Is diligent, disciplined and organized in her/his work: meets deadlines, strives for high quality, has complete documentation.

  • Communicates effectively; moves easily from discussion to agreement. Develops sustainable relationships with colleagues.

  • At least 10 years’ experience fixed income compliance experience at a broker dealer, governmental agency or self-regulatory organization.

  • Solid fixed income product knowledge in particular credit trading, derivatives, Volcker and/or Dodd Frank.

  • Experience in project management with implementation of new regulations.