- London, England, United Kingdom
- Permanent, Full time
- Credit Suisse -
- 19 Feb 19
Control Room and Conflicts Clearance # 117989
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.
- Member of the Control Room team providing compliance coverage to Research and Investment Banking.
- Maintaining the firm's Watch and Restricted Lists, including making determinations with respect to imposing restrictions on the firm's Research and/or Trading activities.
- Manage wall crossings through the Firm's wall crossing procedures.
- Review cross-divisional conflicts submissions and query Control Room systems, working together with other stakeholders including Investment Banking & Capital Markets and Legal; Advise on Compliance issues, coordinate escalations; produces metrics for various stakeholders
- Provide advice on Information barriers.
- Review both Equity and Fixed Income Research for potential issues with applicable laws and firm policies regarding the publication and dissemination of Research in issuers on the Watch and Restricted Lists.
- Ensuring compliance with research guidelines and firm policy for pre-deal research relating to IPOs and coordinating review process.
- Work closely with advisory compliance to provide accurate and consistent advice to the business.
- Assist in the delivery of Control Room team objectives, projects and initiatives.
Open to discussing flexible/agile working.
- Strong compliance experience.
- Control Room / Conflicts experience.
- Degree level education or similar preferred.
- Articulate both orally and in writing.
- Attention to detail and well organised.
- Proactive and deadline orientated.
- Exercises good judgment.
Credit Suisse is committed to providing equal employment opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law.