- New York, NY, USA
- Permanent, Full time
- Credit Suisse -
- 21 Apr 18
Line Coverage Compliance Officer - Asset Management # 110655
- Dynamic work environment
- Review and approve marketing/advertising materials; filing and coordination with FINRA; and maintain the administrative function in connection therewith.
- Administer the compliance program for a FINRA-registered broker-dealer, including annual training, annual filing requirements, non-branch reviews and ongoing surveillance.
- Compile and organize information relative to, and produce the final written version of, the CCO Reports in connection with Rules 38a-1 and 206(4)-7.
- Prepare and present compliance-related materials at quarterly meetings of the Boards of the Credit Suisse family of open and closed-end funds.
- Prepare periodic compliance certifications, respond to ad hoc requests and review the annual and semi-annual reports for sub-advisory relationships.
- Provide compliance advisory coverage for quantitative investment strategies and Credit Investments (Leveraged Loans) businesses in Asset Management.
- Provide training to the businesses, both in-person and by compliance alerts
- Proactively Produce and/or update and revise Compliance manuals, surveillance manuals, internal procedures, Compliance policies and alerts, on both a routine and as-needed basis.
- Assess and ensure proper registrations for employees of the BUs you support.
- Oversee trading activities for portfolios, including the monitoring of futures to ensure CS is not in violation of exchange limits.
- Oversee surveillance activities performed by Central Compliance
- Participate in matters concerning Bank Regulatory as they relate to the businesses you oversee.
- Routinely assess regulatory developments, inform key stakeholders of the developments and their impact on the firm and determine the appropriate actions to ensure the firm is positioned to comply with the new requirements.
- Lead and/or participate in divisional and regional projects, as requested.
- Assist the dedicated Desk Review Group in the execution strategic desk reviews
- Perform annual Compliance Risk Assessment, Conflicts Assessment, Participate in business led Risk and Control Self-Assessment and identify and implement corrective actions to issues identified during this process.
- Interface with Central Compliance functions as appropriate (Control Room, Bank Anti-Corruption, Registration, AML, etc.) on matters relating to the firm's activities.
- Expand scope of responsibilities as requested.
- Collaborate with other control functions and other members of the GC department.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
· 10+ years of relevant AM experience.
· College degree, J.D. a plus.
· Solid knowledge of Investment Advisors Act, Investment Company Act, FINRA, ERISA, securities laws and regulation.
· Work experience at major financial institution/Global financial services firm a plus.
· Good critical thinking skills and effective challenge of business and compliance controls and procedures
· Ability to lead and execute multiple projects (short and long term) and tasks and deliver high quality, accurate work product on time.
· Very good communication skills; written and oral.
· Familiarity with Microsoft Excel, PowerPoint and Word, Charles River and Bloomberg are key to functioning effectively with the day-to-day tasks.
· Familiarity with the SEC and FINRA requirements associated with the review and approval of marketing/advertising materials.
· Self-starter with an ability to work independently with little direction or oversight.
· Proactive; good leadership skills.
· Ability to work in fast-paced and complex environment
· Ability to identify control weaknesses and design corrective measures.
· Active engagement in the development and execution of effective monitoring and testing programs.
· Good working knowledge of complex investment strategies and products.