- New York, NY, USA
- Permanent, Full time
- Credit Suisse -
- 13 Aug 18
Prime Derivatives Services Compliance Officer # 115762
CCRO Division provides Compliance support to all business divisions across all regions of the bank. Our goal is to protect the reputation of Credit Suisse by ensuring that employees have the necessary tools and know-how to comply with all applicable internal policies and external rules and regulations. We support all areas of the business as they undertake the important task of managing their regulatory risks. In addition to our advisory role, we develop and issue policies and conduct Compliance training.
An opening has arisen within the Compliance Advisory team that covers Prime Derivatives Services within the Global Markets division. The Prime Derivatives Services Compliance Advisory team performs an advisory, training and monitoring role in respect to all aspects of activity undertaken within the futures execution and clearing and OTC swap clearing business. Its primary objective is to ensure that the Business adheres to local regulatory requirements and Credit Suisse ("CS) group policies.
- To support and, where required, enhance the compliance control framework in relation to the futures execution and clearing and OTC swap clearing business within Prime Derivatives Services.
- To provide compliance support, including transaction and policy advice, surveillance and training, to Prime Derivatives Services.
The role's core objectives are:
- Provide expert level advice with respect to business transactions (e.g., regulatory ramifications of undertaking particular transactions, guidance on Global/Regional/Local Compliance policy).
- Employee will assist in directing the development and implementation of processes and procedures to ensure the business line's compliance with all regulatory, governmental and company rules, regulations, policies and standards.
- Role will involve development and implementation of Compliance reference information, documentation and training on Firm policies and procedures and on the regulatory and legal environment.
- Participation in new business and risk assessment projects.
- Advising the business units on regulatory issues, real-time trading and sales questions, and technology improvements and initiatives.
- Actively monitoring regulatory developments and trends.
- Conducting desk review and testing activities.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- At least 5-7 years of futures and cleared swap Compliance experience at a futures commission merchant, broker dealer, government agency or self-regulatory organization. Knowledge or experience in Prime Brokerage areas a plus.
- The ability to work independently a fast-paced environment while remaining diligent, disciplined, and organized in your work.
- Effective communication on complex, often difficult topics involving senior management.
- Ability to apply in-depth knowledge of business practices, regulatory requirements and expertise in Compliance methodologies to the analysis of current internal processes and procedures.
- Ability to communicate complex or difficult concepts and negotiate and influence others to adopt different points of view across various departments and regions domestically and globally.
- Expertise in the use of Actimize, Bloomberg, Excel and PowerPoint.
- Challenges status quo and contributes to change. Stretches themselves and others to manage things forward.
- Shows true concern for Compliance and control standards, protects the bank's reputation and earns our clients' trust.
- Is diligent, disciplined and organized in her/his work: meets deadlines, strives for high quality, has complete documentation.
- Communicates effectively; moves easily from discussion to agreement. Develops sustainable relationships with colleagues.
- Experience in project management with implementation of new regulations.