Credit Suisse is a leading global wealth manager with strong investment banking and asset management capabilities. Founded in 1856, Credit Suisse has expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, we are set for growth. We partner across businesses, divisions and regions to create innovative solutions to meet the needs of our clients—and to help our employees grow. It is a high priority for us to continually invest in our employees by providing ongoing opportunities for training, networking and mobility. Join us and let’s shape the future of Credit Suisse together.
- Providing advisory compliance support to the Equity Derivatives; Investor Products, Financing and Macro businesses. Examples of advisory matters include:
- New business projects relating to specific transaction
- Business specific initiatives such as new product launches
- Participating in and / or in the development governance processes
- Business catch ups with Senior Management (Trading, Sales, COO)
- Providing advice on the application of global compliance policies, exchange rules and regulations
- Advising on new and existing products and all regulatory activities relating to product design and distribution specifically, retail and institutional product governance, inducements, conflicts of interest, distributor due diligence questionnaires
- The review of product/service-related materials such as marketing materials, term sheets, presentations and product brochures and disclosures relating to inducements
- Working with Legal, Compliance colleagues and other support staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters
- Liaising with Core Compliance colleagues on ABC, Cross Border, Control Room (MNPI / restricted) Financial Crime matters
- Reviewing regulatory changes affecting the ITS businesses, ensuring appropriate collaboration across General Counsel, Shared Services and the Business and assisting the business with implementing the new regulation in a robust and controlled manner
- Identifying regulatory or reputational risks and escalating to management for resolution
- Acting as a challenge and control function to the Business on compliance related matters including undertaking Compliance testing / quality assurance of certain processes and activities that pose risk which have been identified via the Compliance Risk Assessment or by the business
- Assist in the preparation off / delivery of regulatory training to the business
- Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business
- Complaints handling
- Open to discussing flexible/agile working.
Qualifications / Skills/ Experience
- Prior Compliance experience in sell side Equity Derivatives / fixed income coverage.
- Prior knowledge and understanding of OTC Derivative products from a retail and institutional distribution perspective.
- Degree educated or equivalent and financial services industry qualifications preferable.
- Excellent written and communication skills.
- Good knowledge of UK and European regulation and environment.
- Ability to think outside the box and provide creative solutions.
- Be able to multi task, prioritize and work to deadlines in a pressurized environment.