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Job Description
Role Summary:
FID Compliance covers all product areas within Fixed Income Americas, including interest rate products (fx, governments, agencies and derivatives), credit (high yield and investment grade sales, trading, credit derivatives, debt capital markets and loan syndication), emerging markets (sales, trading, structuring, and structured lending), commodities, structured products (sales, trading residential and commercial mortgages, asset backed securities), and listed derivatives. FID Compliance personnel are located on the trading floor within the business units they cover
Role Involes:
Providing transactional advice to trading, sales, origination, and structuring groups relating to the above business;
Advising business personnel on new rules and regulations which affect their business;
Coordinating with Legal, New Products, Controllers, Operations, Credit, IT and other areas to ensure the appropriate controls and policies and procedures are in place for current business as well as new business initiatives;
Establishing policies and procedures in accordance with regulatory requirements and firm policy; updating existing compliance policies and procedures;
Conducting compliance training for business personnel;
Developing an understanding of the systems used by the business units and working with internal IT and external vendor to produce surveillance reporting framework for structured product businesses;
Participating in related industry trade groups with intent of having an impact on how the regulatory environment is developing; and
Handling regulatory inquiries, examinations and audits.
To Qualify, you must possess:
Flexibility for being at work for early morning meetings; long hours are sometimes be needed. Must be able to work in a fast paced trading environment.
5+ years experience in securities compliance, legal or regulatory functions or fixed income related businesses
Candidate should have excellent organizational, negotiating and inter-personal skills; should be solutions driven, confident, highly motivated and organized team player with impeccable integrity.
The candidate should have experience with trading floor personnel and will be located on the trading floor.
Candidate should be able to act decisively and independently in situations requiring quick analysis and decision making.
Series 7 preferred
Securities Compliance or related background
Regulatory experience a plus
4 yr College Degree minimum
J.D. preferred but not required
Company Profile
As one of the world's leading banks, Credit Suisse provides its clients with investment banking, private banking and asset management services worldwide. Founded in 1856, Credit Suisse has a long tradition of meeting the complex financial needs of a wide range of clients, offering advisory services, comprehensive solutions and innovative products to companies, institutional clients and high-net-worth private clients globally, as well as retail clients in Switzerland. Credit Suisse is active in over 50 countries and employs approximately 40,000 people. Further information can be found at www.credit-suisse.com.
Cultural diversity is essential to our success. As such, we employ people from more than 100 countries. Credit Suisse empowers employees to work openly and respectfully with each other and with clients, ultimately striving to deliver superior results while offering initiatives and programs to assist employees achieve a healthy work-life balance.
Right place, perfect opportunity
www.credit-suisse.com/careers
Credit Suisse is an Equal Opportunity Employer and does not discriminate in its employment decisions on the basis of any protected category.
To the extent permitted or required by applicable law, a candidate who is offered employment will be subject to a criminal record check and other background checks before the appointment is confirmed.
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