• Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Credit Suisse -
  • 24 Apr 18

Advisory Compliance Officer Global Markets ITS # 105690

We Offer
  • 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.

You Offer
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.

London, England, United Kingdom London England GB