• Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Credit Suisse -
  • 23 Apr 19

IWM (Asset Management) UK Coverage Compliance Officer # 129523

We Offer
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.

A role to undertake day to day Compliance advisory responsibilities primarily for the UK Asset Management Business & also for the wider Global Credit Suisse Asset Management (CSAM) franchise where required. The established AM business boutiques focus on Credit / CLO products, Algorithmic Trading, Real Estate, distribution of Asset Management's products and a placement agent business which raises funds for external Private Equity firms. Critical responsibilities include:
  • Provide second line of defense advisory support to the existing UK Asset Management business & wider Global Credit Suisse Asset Management (CSAM) franchise where required
  • Attend regular meetings with business as workload dictates
  • Provide input into the CSAM compliance monitoring programme as required
  • Assist in the delivering of the face to face training to UK AM staff
  • Participate in the analysis & implementation of new regulations affecting the business as directed
  • Answer general marketing questions raised by centralized team based in Poland using existing awareness of FCA regulations
  • Experience preferred to deal with the Front Office enquiries
  • Good working knowledge of Debt instruments including Collateralized Loan Obligations (CLO)s & bonds plus basic derivatives
  • Working as part of the wider compliance coverage team to implement the key strategic projects for the UK & EMEA Asset Management businesses
  • Role primarily based in Canary Wharf
  • Gain a good working understanding of the wider CSAM UK footprint to provide overflow support where required

Open to discussing flexible/agile working.

You Offer
  • Preference for a compliance generalist covering general advisory work and not a specialist in one area
  • Preferred experience of Alternative & Credit businesses
  • Experience of non-investment grade credit strategies including Collateralized Loan obligations (CLOs) preferred
  • Working knowledge of Real Estate funds advantageous
  • Experience of supporting the front office on general trading issues
  • Must be proactive and approachable
  • Must be able to work under pressure, autonomously and multi task
  • Must possess excellent communication skills (oral + written) and be able to interact with staff at all levels
  • Must be able to correctly prioritize issues
  • Must be able to adapt to a changing regulatory and business landscape & communicate clearly and effectively

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.