- Raleigh, NC, USA
- Permanent, Full time
- Credit Suisse -
- 21 Apr 18
Compliance Analyst - US Registration Group # 108962
- Assist the Registration Group in day-to-day operational matters or special regulatory compliance projects that enable the ability to gain a wide range of skills, experience and knowledge in this area of regulatory compliance.
- Coordinate the submission of securities and commodity futures registration application filings, including amendments related to address changes and outside business activities.
- Validate the completeness and accuracy of application content through a due diligence review that includes pre-hire and background check screenings, HR and Outside Business system checks, and reviews of other information sources, in compliance with registration regulations.
- Provide mentorship on registration-related issues and questions to business contacts and Compliance colleagues, including information on form filing processes and the appropriateness of certain licenses and examinations for different job functions and activities.
- Build and handle registration-related communications, including notifications of examination, reporting, and continuing education obligations, and the distribution of registration reports for Compliance colleagues and business contacts.
- Oversee the documentation review and records regarding Swap Dealer associated persons.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- You have ability to apply broad knowledge of business processes and procedures, governmental and regulatory agency guidelines, laws and requirements, and compliance methodologies to the understanding of current processes and procedures.
- Do you have ability to effectively communicate moderately complex, difficult or sensitive information and collaborate with others to develop consensus?
- Are you able to prioritize activities and projects to ensure the achievement of project breakthroughs and goals in a timely manner?
- Challenges status quo and contributes to change. Stretches her-/himself and others to drive things forward.
- Do you have show true concern for compliance and control standards, protects the bank's reputation and earns our clients' trust? Is diligent, disciplined and organized in her/his work: meets deadlines, strives for high quality, has complete documentation.
- Do you have the ability to communicate effectively; moves easily from discussion to agreement? Establishes sustainable relationships with colleagues.