• Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Credit Suisse -
  • 17 Dec 18

Compliance Officer # 119420

We Offer
The Chief Compliance and Regulatory Affairs organization at Credit Suisse strives to become a proactive, independent function that enables business units across the organization to challenge and effectively manage compliance risk. Our new management team is focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite. To fulfill our mandate we need the skills, experience and engagement of our employees. Our dynamic environment also means that you have the flexibility to help us define and establish new processes and procedures, start or expand a business and shape our company for the future. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.

We Offer:

The role involves a wide range of Research Compliance activities, including (but not limited to):
  • Providing day to day advisory support to the EMEA Research business, including the applicability of regulatory requirements, internal policies and procedures
  • Assisting in the creation and maintenance of policies and procedures to support compliance with regulatory requirements and industry best practice
  • Developing and providing training to research analysts, interns, new joiners and assisting in training for other divisions of CS as required
  • Liaising with business and Compliance colleagues in other divisions and regions to ensure consistency of policies and practices subject to local regulatory requirements
  • Monitoring regulatory climate, industry enforcement actions and taking a pro-active role in interactions with the Research business, focusing on prevention
  • Identifying and escalating any breaches or concerns, collaborating in the prompt resolution of identified issues, conducting read-across of external or internal incidents to assess the strength of existing controls
  • Participating in industry advocacy efforts, roundtables and industry initiatives focusing on rule interpretation and implementation
  • Assisting in completing and analising the Compliance Risk Assessment and assisting business in assessing their own risk assessment programmes
  • General second line of defense activities - i.e. involvement in monitoring activities

Open to discussing flexible/agile working.

You Offer
  • You will be currently be working in a Research, Investment Banking or Markets Compliance role on a compliance advisory team or in a Control Room or have a relevant Investment Research background
  • Direct experience in Research Compliance is desirable
  • Strong knowledge of the regulatory and internal control requirements related to the preparation and dissemination of research and the interactions of Research Analysts with non-Research personnel
  • Ability to identify issues and know when to escalate; to meet tight deadlines; and to make quick and reasoned decisions under pressure
  • Good presentation skills, articulate, ability to communicate quickly and clearly at all levels
  • Strong interpersonal/client-handling skills; must be responsive; a team player, but able to take initiative and operate independently
  • Self-starter, action-oriented and effective listening skills

Credit Suisse is committed to providing equal employment opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law.