• Competitive
  • Raleigh, NC, USA
  • Permanent, Full time
  • Credit Suisse -
  • 20 Aug 18

Research Compliance Junior Officer # 111695

We Offer
  • The primary focus of this position is to monitor communications between Equity Research personnel and Investment Banking Department personnel
  • The Compliance Officer may need to speak to management and legal and compliance colleagues in Credit Suisse's Americas and overseas offices, as well as outside counsel
  • The individual will also be responsible for answering compliance and risk related questions from research analysts, investment bankers and other personnel across the firm as they relate to the sharing of material non-public information, granting or denying approval for communications with analysts and facilitating compliance with firm policies
  • Additional responsibilities will include developing and drafting of compliance policies and procedures for the Research Department, fact gathering to assist in internal investigations, developing and coordinating of compliance education and training activities, coordinating with the Control Room, other Legal and Compliance groups, and other areas of the firm, assisting with tracking compliance exceptions and regulatory developments and conducting oversight reviews in line with established compliance monitoring programs

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 are a recent graduate for a J.D. from an accredited law school
  • You possess excellent social and client service skills as well as have the ability to work very closely and confidently with many levels of management on the business side
  • You have solid analytical, interpersonal and drafting skill are also necessary
  • You have the ability to multi-task while working on long-term projects
  • You are a fast thinker, self starter, and possess the ability to work effectively under pressure in a fast-paced environment in order to meet deadlines
  • You are able to work autonomously as an effective member of a dynamic team

Raleigh, NC, USA Raleigh NC US