- London, England, United Kingdom
- Permanent, Full time
- Credit Suisse -
- 19 Aug 18
Compliance Review Officer # 116489
The Chief Compliance and Regulatory Affairs organization at Credit Suisse strives to become a proactive, independent function that enables business units across the organization to challenge and effectively manage compliance risk. Our new management team is focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite. To fulfill our mandate we need the skills, experience and engagement of our employees. Our dynamic environment also means that you have the flexibility to help us define and establish new processes and procedures, start or expand a business and shape our company for the future. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.
This role will be responsible for Compliance reviews in the EMEA region. This role will be staffed at the VP level and will report to the Head of the Compliance Review Group ("CRG"). CRG covers testing across Investment Banking and Capital Markets ("IBCM"), Global Markets (GM) and Strategic Resolution Unit ("SRU") businesses. This includes compliance reviews pursuant to regulatory requirements as well as compliance risk assessment and discretionary driven desk and thematic testing, including other types of internal reviews.
- Responsible for the Planning, Fieldwork and Reporting of assigned reviews.
- Perform substantive/sample testing of first line business controls.
- Gathering documentation, including sample population data, to aid in the execution of testing.
- Identify issues and root causes; proposing commercially viable and sustainable solutions.
- Drafting entrance memo and final reports to the business and other key stakeholders.
- Collaborating closely with Coverage Compliance throughout the testing process.
- Build and develop good working relationships with the Business, Audit and other control functions.
- Assist to review and revise existing procedures and proactively improving processes as necessary.
Open to discussing flexible/agile working.
- Previous experience in an Audit, Compliance or Risk and Control role.
- Experience of the activity performed across Global Markets, and International Banking, across the various asset classes is essential.
- Ability to analyse risk and control environment against the specific business activity.
- Create appropriate test plans to support the design and operational effectiveness of controls testing.
- Work to tight deadlines, leading and supporting several reviews concurrently.
- Ability to produce high quality, well researched written work is vital to this role as is the ability to communicate clearly and succinctly with senior management in the business.
- Attentive to detail; is solution-oriented and well-organized.
- Ability to exercise good judgment and realize own limitations and knows to escalate appropriately.