• Competitive
  • Raleigh, NC, USA
  • Permanent, Full time
  • Credit Suisse -
  • 24 Jun 18

IBCM Risk & Controls Group AML Analyst # 112775

We Offer
The Risk & Controls Group (RCG) within our Investment Banking and Capital Markets (IBCM) division helps to ensure the IBCM business is aligned with rules and regulations, and with Credit Suisse (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. The RCG role is responsible for actively managing key control functions as well as facilitating the understanding and implementation of regulatory policies and procedures in IBCM. Specific risk and control responsibilities include: maintaining the control framework, crafting and implementing new controls as necessary, test checking the efficacy of controls, monitoring bankers and their activities to detect control breaches, writing policies and procedures, client on boarding (KYC) and training bankers to be aligned with the rules and regulations.

The core responsibilities of RCG serve as the platform from which RCG will look to grow globally and become a central point in ensuring appropriate compliance, industry regulations, and internal guidelines and procedures are set in place for the IBCM business. Data accuracy, liaising with various groups and regulatory maintenance are just a small number of key roles assumed by the group. The importance of these centralized roles is demonstrated daily with the group's ability to prioritize workflows and to acclimate to the changing regulations and laws. The group also excels in a fast-paced and high-pressure environment engaged with Global/Regional/Functional Heads supporting the development and delivery of high value-add client management information systems (MIS).

Successful individuals will be able to utilize a combination of business, product, regulatory and technical expertise to partner with IBCM management and investment bankers to ensure a relevant and working risk and control environment. Individuals need to be able to provide subject matter expertise in Anti-Money Laundering (AML) and Know-Your-Client (KYC) regulations and policies and procedures and help in the general onboarding and KYC maintenance of IBCM clients. Main responsibilities will be to assist in the day-to-day client onboarding processes, advise the IBCM Client ID team and Banking deal teams, collaborate with our partners in Financial Crime Compliance (FCC) and develop proper procedures and policies for the IBCM business with respect to Client ID. Experience with Client ID and AML rules and regulations from a 1st line or 2nd line function with a focus on the Investment Banking (Advisory/Capital Markets) business are preferred. Professional communication at various levels in the organization, relationship management, and analytics skills are keys to success. The professional objective is to develop general management and business administration skills and responsibilities.

Key responsibilities:
  • 1st line verification of the identity of prospective new clients within the Investment Banking Capital Markets division.
  • You will act as a liaison between Banking deal teams and FCC, responsible for the completion of the KYC process and ensuring proper diligence is completed in line with the KYC guidelines for IBCM clients.
  • You will conduct database searches and evaluate results to ensure that new customers are not subject to OFAC or other global sanctions lists and that the customer and related parties do not present any reputational risk to the Firm.
  • You will undertake specific due diligence as required, including but not limited to, Finders/Consultants, Reputation Risk, Politically Exposed Persons (PEPs), Sanctions, Sustainability.
  • You will advise deal teams of deficiencies in paperwork submitted and educating deal teams on the Firm's KYC obligations.
  • You will work closely with FCC units in other jurisdictions in order to keep abreast of local regulatory requirements.
  • You will collaborate with FCC and other corporate functions to make sure IBCM is fully abreast of current regulatory requirements and is prepared ahead of time for expected changes to the KYC process.
  • Ability to handle multiple functions under tight deadlines with a high degree of accuracy and efficiency.
  • You will identify and undertake projects to improve the process and application of Credit Suisse Client ID procedures, as and when required, utilizing technology where possible.
  • Able to interact with members of deal team at all levels and be able to work under tight deadlines; particularly during off hours as we service a 24-hour business.
  • You will lead business control projects by coordinating with senior leadership across the firm, including business change projects, data management, operational risk management, reporting improvements.
  • You will support various litigation and legal inquiries that relate to compliance and reputational risk.
  • You will supervise financial registrations, personal trading accounts, block leave, and mandatory e-learnings.
  • You will monitor Cross Border activities for bankers conducting business in different countries in addition to preparing ad hoc cross border travel reports.
  • You will collaborate with bankers and compliance staff ensuring the completion of client onboarding and KYC processes for all IBCM transactions.
  • You will identify potential risks that particular clients may pose by working with bankers and compliance to mitigate these risks.
  • You will monitor client onboarding policy changes and communicating such updates to relevant bankers.


Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.

You Offer
  • You have completed undergraduate degree, business, accounting or related field preferred.
  • You have a solid analytical and problem-solving skills.
  • You have a strong attention to detail.
  • You have strong writing skills.
  • You have strong communication skills, ability to understand business strategy/constraints and partner with other areas of the firm to integrate business views with those of other areas of the Investment Bank.
  • Do you have a strong Microsoft Office and Word skills?
  • Flexibility to adapt to new business needs from internal policy and regulatory changes.
  • You have superior time management, ability to prioritize responsibilities and remain organized in a high pressure environment.
  • You have a minimum 1-3 years AML/KYC experience for a Financial institution with experience of due diligence of Investment Banking Capital Markets Clients (Corporate clients, Financial Institutions, Non-Bank Financial Institutions, Hedge Funds, Funds, SPVs).
  • General understanding of the IBCM business and the products and services it offers (M&A, ECM, DCM, HYCM, Corporate Lending).
  • Sound knowledge of the wide range, and complex variety, of fund/corporate structures.
  • Excellent research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
  • Results oriented team player with solid interpersonal and verbal/written communication skills.
  • Ability to work in a close-knit team atmosphere but also able to work independently and drive a project when necessary.
  • Highly motivated, with drive and enthusiasm; Excellent collaboration skills.
  • Do you have excellent time management and prioritization skills?
  • Experience in leading change across an organization through influence and collaboration, validated leadership skills in a collaborative culture is a plus.

Highly desirable:
  • Knowledge of Investment Banking, and/or Wealth Management industries preferred.
  • Knowledge of financial regulations in particular those relevant to Investment Banking.
  • Knowledge of Lexis Nexis, Bloomberg, World Check, Factiva and various Compliance Related Systems.

Raleigh, NC, USA Raleigh NC US