- London, England, United Kingdom
- Permanent, Full time
- Credit Suisse -
- 24 Apr 18
Advisory Compliance Officer Global Markets ITS # 105690
- Providing advisory compliance support to the Equity Derivatives; Investor Products, Financing and Macro businesses. Examples of advisory matters include:
- New business projects relating to specific transaction
- Business specific initiatives such as new product launches
- Participating in and / or in the development governance processes
- Business catch ups with Senior Management (Trading, Sales, COO)
- Providing advice on the application of global compliance policies, exchange rules and regulations
- Advising on new and existing products and all regulatory activities relating to product design and distribution specifically, retail and institutional product governance, inducements, conflicts of interest, distributor due diligence questionnaires
- The review of product/service-related materials such as marketing materials, term sheets, presentations and product brochures and disclosures relating to inducements
- Working with Legal, Compliance colleagues and other support staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters
- Liaising with Core Compliance colleagues on ABC, Cross Border, Control Room (MNPI / restricted) Financial Crime matters
- Reviewing regulatory changes affecting the ITS businesses, ensuring appropriate collaboration across General Counsel, Shared Services and the Business and assisting the business with implementing the new regulation in a robust and controlled manner
- Identifying regulatory or reputational risks and escalating to management for resolution
- Acting as a challenge and control function to the Business on compliance related matters including undertaking Compliance testing / quality assurance of certain processes and activities that pose risk which have been identified via the Compliance Risk Assessment or by the business
- Assist in the preparation off / delivery of regulatory training to the business
- Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business
- Complaints handling
Open to discussing flexible/agile working.
Qualifications / Skills/ Experience
- Prior Compliance experience in sell side Equity Derivatives / fixed income coverage.
- Prior knowledge and understanding of OTC Derivative products from a retail and institutional distribution perspective.
- Degree educated or equivalent and financial services industry qualifications preferable.
- Excellent written and communication skills.
- Good knowledge of UK and European regulation and environment.
- Ability to think outside the box and provide creative solutions.
- Be able to multi task, prioritize and work to deadlines in a pressurized environment.