• Competitive
  • Raleigh, NC, USA
  • Permanent, Full time
  • Credit Suisse -
  • 21 May 19

CCS Testing Lead # 131572

We Offer
The Chief Compliance Office (CCO) provides compliance support to all business divisions and Shared Services functions across all regions of the bank. Our goal is to protect the reputation of Credit Suisse by ensuring that employees have the necessary tools and know-how to follow all applicable internal policies and external rules and regulations. We support all areas of the business as they undertake the important task of handling their legal and regulatory risks. In addition to our advisory role, we develop and issue policies, conduct compliance training and perform monitoring and surveillance activities.

The Core Compliance Services function, handles the global framework and enterprise wide standards related to the mandated disciplines (Trade Surveillance, Suitability & Appropriateness, Compliance Reviews, Communication Surveillance, Policy & Training, Disciplinary, Registrations, Whistleblowing).
  • Lead ongoing Quality Reviews in support of the CCO Quality Assurance Activities (QAA) program by evaluating end-to-end programs or processes to ensure compliance with existing bank policies, procedures, and standards
  • Execute elite controls testing program, which is standardized, continuously executed, used as part of the RCSA process for control effectiveness substantiation, and adheres to the Enterprise Risk and Control Framework's mandate
  • Conduct periodic meetings to review testing and QA results and act as SME regarding reviews/inquiries from internal partners
  • Communicate testing and QA results to relevant partners in a clear and logical manner; present findings to CCO management including FRCOs and CCOs at the right level of detail
  • Assist in production of CCO Monitoring, Surveillance, and Testing metrics by running and structuring manual reports into the necessary format for metrics calculations
  • Update suite of reporting that utilizes a common set of metrics from the golden source
  • Build monthly divisional report for each CCRO FRCO to isolate and raise areas of concern including monitoring and testing activities which are overdue
  • Perform secondary review on metrics reporting to ensure completeness and accuracy
  • You have the opportunity to contribute to various working groups of the Bank's key initiatives
  • You benefit from relationships to a large bandwidth of businesses across the bank and from direct contacts with the bank's senior management
  • You have a unique platform for personal and professional growth in a dynamic and exciting department
  • You benefit from significant investments in your career development
You will be expected to undertake this role for a minimum 2-3 years. In that time, it is expected from you to support the continuous improvement of the Testing framework and Standards, develop solid relationships with the CSMST and other Compliance units and the divisional CCOs

Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.

You Offer
  • Bachelor's Degree
  • JD/MBA preferred but not required
  • 5+ years of compliance, regulatory, or audit experience
  • Demonstrated capacity for hard work
  • Hardworking and positive approach to challenges
  • Demonstrated accountability for any processes or projects and actively handles priorities
  • Extraordinary written, verbal communication and platform presentation skills
  • Demonstrated analytical skills and knows what questions to ask;
  • Excellent project management skills
  • Attentive to detail; is solution-oriented and well-organized
  • Ability to exercise good judgment and realize own limitations and knows to raise appropriately
  • High ethical and control standards, commensurate with working in a critical control function
  • Self-motivated and be a solid communicator within a hierarchical structure
  • Willingness to undergo on-the-job as well as more formal training for career development
  • Excellent team-player who regularly engages in knowledge share