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.

We Offer

  • Manage the day to day running of the Control Room Core Process functions.
  • First point of contact for core Control Room escalation.
  • Review Equity and Fixed Income Research for potential issues with applicable laws and firm policies regarding the publication and dissemination of Research in issuers on the Watch and Restricted Lists.
  • Maintaining the firm’s Watch and Restricted Lists, including making determinations with respect to imposing restrictions on the firm’s Research and/or Trading activities.
  • Provide advice on Information barriers.
  • Review cross-divisional conflicts submissions and query Control Room systems, working together with other stakeholders including Investment Banking & Capital Markets and Legal; Advise on Compliance issues, coordinate escalations; produces metrics for various stakeholders.
  • Support the Outside Business Interests function.
  • Manage the pre-deal research IPO pipeline and process.
  • Involvement in Regulatory Enquiries
  • Develop policies and procedures.
  • Deliver Compliance training.

You Offer:

  • 6+ years’ experience in a compliance function with preference for Control.
  • Room or private side advisory experience.
  • Is proactive and able to work to tight deadlines.
  • Articulate both orally and in writing.
  • Sound analytical skills.
  • Attention to detail and well organized.
  • Exercises good judgment.
  • Good working knowledge of the UK and EU regulatory framework.
  • Degree level education preferred.

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