Regulatory Due Diligence Analyst Regulatory Due Diligence Analyst …

Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Be the first to apply
Competitive
Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Be the first to apply
Competitive
Credit Suisse
Regulatory Due Diligence Analyst
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer
The Regulatory Due Diligence (RDD) group is part of Global Market - Client Onboarding and Lifecycle Management and exists to facilitate regulatory compliance throughout the client lifecycle and ultimately help protect the business from regulatory risk. Our mission statement is to:

"Provide support to internal and external clients to smoothly enable compliant trading activity and value creation while improving process efficiency, transparency, and controls."

RDD helps to implement new regulatory requirements by working with various internal partners including General Counsel (GC) and Compliance to translate and operationalize the law, and executes (or supports other groups responsible for executing) the various activities required to bring clients in to regulatory compliance. These activities include but are not limited to the following:

  • Performing large scale client outreaches to request information or encourage a particular set of actions.
  • Manage data from multiple domains to build comprehensive, prioritized lists of clients with compliance status details.
  • Defining, implementing and monitoring various pre and post trade controls.
  • Understanding and maintaining client reference and classification data requirements.
  • Providing subject matter expertise to the front office and other impacted teams.

Other Responsibilities:


The successful candidate will be responsible for the following:

  • Acting as a subject matter specialist in regulations on behalf of both internal partner groups and clients
  • Understanding and being able to communicate the importance of controls surrounding Credit Suisse's regulatory compliance obligations
  • Partner with our Data & Analytics group to define, implement and maintain control reports and process monitoring
  • Management of daily exception reports, implementing improvements as required
  • Coordinate with the change team to resolve any static data issues and with internal systems and external vendors
  • Working with project managers to ensure business-as-usual (BAU) processes can be transitioned seamlessly
  • Crafting and maintaining procedures and policies to reflect current processes.


You Offer
  • At least 3 years of relevant experience in Financial Services, ideally in a client facing role
  • Familiarity with regulations such as Dodd Frank, EMIR, FinFraG, MIFID II, FATCA preferred
  • Effective interpersonal and communication skills with an ability to integrate and articulate numerous viewpoints across the business;
  • Proficient analytical skills with the ability to manipulate large data sets, identify important themes and develop insights
  • Highly organized, result oriented with the capability to manage, prioritize and complete multiple tasks simultaneously
  • Hardworking with the capacity to operate successfully under pressure, autonomously and with minimal supervision.


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Credit Suisse complies with applicable federal, state, and local laws prohibiting discrimination in employment in every jurisdiction in which it maintains facilities. Subject to applicable law and regulatory requirements, Credit Suisse complies with state and local laws regarding considering for employment qualified individuals with criminal histories.
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