| Job Description: |
The Compliance Team is looking for a Compliance Officer to join the team in London.
ROLE SUMMARY:
Working within Research Compliance which is part of the IBD/ Research Compliance and Control Room team providing advisory support to the EMEA Research franchise as well as ensuring the integrity of the Bank’s information barriers.
THE ROLE INVOLVES:
• Taking the lead in providing compliance support for specific areas within the Research Department, including Equity Research, Credit Research and Fixed Income Research which incorporates FX, Rates, Commodities, Strategy and Economics.
• Responding to all enquiries arising out of the different units across Research, including advice on/interpretation of compliance policies and procedures.
• Transactional support on the IPO product throughout the process liaising with IBD, Global Markets and Research.
• Taking a lead on regulatory enquiries and other investigations and projects focussing on Research.
• Creating and delivering training to the business on key compliance themes and topics, including inductions for new joiners and annual refresher training for all Research analysts.
• Updating and maintaining systems which are used to manage Information Barriers within Credit Suisse IBD, Research and Securities Sales and Trading areas including the watch and restricted list.
• Updating and writing compliance policies, guidance and manuals for the Research businesses.
• Reviewing Equity and Fixed Income Research in light of items on Credit Suisse’s watch and restricted lists ensuring compliance with regulatory requirements, Credit Suisse’s Chinese Wall policies and dealing with potential conflicts of interest.
• Monitoring adherence to Credit Suisse’s Chinese Walls and Restricted List policies and procedures by Business Units.
• Investigating in conjunction with the business and escalate as necessary any exceptions to Credit Suisse’s Chinese Walls policies and procedures.
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DIVISION/DEPARTMENT OVERVIEW:
IBD/Research and Control Room Compliance is part of EMEA IB Compliance which is part of General Counsel.
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TO QUALIFY YOU MUST POSSESS:
• Educated to degree level or equivalent.
• Industry or professional qualification preferable.
• 5 + years of Investment Banking or Financial Services work experience, dealing with regulatory issues including experience dealing with Research and/or Control Room compliance issues.
• Computer literate to include Microsoft Office package.
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As one of the world's leading financial services group, 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. The Credit Suisse Group 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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