IBCM-Risk & Controls Group-AVP-Raleigh
An opportunity to join Credit Suisse's Investment Banking and Capital Markets Risk and Controls Group ("RCG") as an Assistant Vice President (AVP). RCG is a global group that helps to ensure the business is in accordance with rules and regulations, and CS policies and procedures. RCG does this by assessing risks, implementing and monitoring controls, analyzing, implementing and remediating new rules and regulations as well as audit points. RCG is primarily responsible for handling key control functions, conducting Client Onboarding (KYC and other requirements), maintaining the control framework, crafting and implementing new controls as necessary, evaluating the efficacy of controls, monitoring bankers and their activities to detect control breaches, writing procedures, and training bankers to be aligned with rules and regulations.
The primary responsibilities of the role will be to work within the IBCM Client Onboarding Team to provide support in facilitating, risk managing and controlling the IBCM client onboarding process and providing support to IBCM Bankers generally located in the U.S. and Canada. Key aspects of the role include:
- Coordinating the KYC lifecycle of clients including on-boarding, periodic reviews, and maintenance processes from front to back and balance the day to day workload
- Reviewing KYC files submitted by onboarding analysts for completeness and accuracy prior to review by Financial Crimes & Compliance ("FCC")
- Working as a single point of contact for IBCM bankers, providing immediate advice on completing KYC requirements
- Addressing any issues that may arise in the onboarding of clients
- Helping ensure high standards of ethics and control are maintained during on-boarding processes through enforcement of requirements
- Working with Financial Crime Compliance to understand the relevant AML / KYC rules and apply them to the IBCM Division
- Serving as the first point of blocking issue for IBCM KYC analysts and for the bankers regarding KYC requirements
- Communicating the rules & procedures to IBCM business partners and providing training to bankers
- Assisting with ad-hoc/ongoing regulatory projects and improves quality of client static data on CS internal databases
- Preparing & presenting metrics on the KYC processes
- Completing screenings of clients and related parties to identify Adverse Media, PEPs, Financial Crimes, OFAC Sanctions, and other potential issues. Bring up potential issues to Deal Team Leads and the appropriate FCC specialists for further review, as appropriate
- Completing periodic and ad-hoc KYC reviews of clients to ensure client data and documentation is up to date and sufficient to meet current requirements
- Equivalent work experience of 3+ years ideally in a client onboarding role!
- Highly motivated, willing to work in both team and independent situations depending on current workload
- Outstanding knowledge of the operational and/or control environment at a financial services firm strongly preferred
- Maturity to work with senior level professionals and external clients
- Excellent verbal/written interpersonal skills
- Ability to conduct complex analysis under tight timelines
- Proficient with advanced Excel, PowerPoint and Word skills!
- Highly organized and efficient at multi-tasking is meaningful for this role
- Demonstrated management capabilities