Trade Surveillance Analyst Trade Surveillance Analyst …

Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Last application, 30 Nov 20
Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Last application, 30 Nov 20
Credit Suisse
Trade Surveillance 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
    Compliance and Surveillance Experience
    Daily Surveillance Tasks and Activities while Detail Oriented with Strong Analytical Skills
    Maintain a level of Integrity and Principled Behavior
    Reviewing Trade Surveillance alerts generated by the trade surveillance systems;
    Scope: Fixed Income, Prime Services & Equities products across Global Markets, IBCM and PB businesses;
    Identifying any irregularities or discrepancies as part of the trade review process;
    Detect potentially abusive trading activities, investigating potential cases and raising;
    Conducting targeted trade surveillance, monitoring & testing reviews, in accordance with the CCS's program;
    Develop an understanding of the systems in use, identify risks and ensure efficiency of current solutions;
    Develop expert knowledge of regulations promulgated by various financial regulatory agencies, regulatory changes and firm policies related to trade surveillance;
    Liaising and collaborating with IT Support, Compliance, Front Office and other business groups to manage escalated cases and potential changes regarding surveillance software and systems;
    Maintain robust documentation for all desk activities and update as required;
    Actively participate and enforce timelines;
    Undertake similar or related tasks or duties, as directed by management
    Supporting the deployment of activities and contributing to the development and reputation of the team;
    Participate in meetings to identify suggestions for improvements to the program;
    Review or test trade scenarios for specific compliance risk concerns and draft memos summarizing findings, as necessary;
    Develop Management Information (MI) for Senior Compliance managers around surveillance and testing;
    Assist in responding to regulatory inquiries that relate to trade activities;
    Building and maintaining good relationships with various business partners around the globe; Other general compliance responsibilities
    A department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards

You Offer
  • College or University degree;
  • Surveillance, compliance or investigative experience in banking is highly desirable; alternatively, compliance experience in other regulated industries is desirable!
  • Proficient presentation skills and strong communication (both written and verbal) especially with regard to communicating with a broad range of technical and non-technical staff;
  • Ability to learn quickly new surveillance software as well as back-end analysis of the software;
  • Attention to details but also able to take a big picture approach;
  • Results oriented working style; Open, flexible and a positive team oriented approach;
  • Proactive and assumes accountability for their tasks and results;
  • Motivated to work in a multicultural and an international environment
  • Understanding of banking industry and its regulatory environment
  • Understanding of the complexity of financial products and services
  • Proficiency in Microsoft Office skills, including Excel, Word, PowerPoint and Outlook is essential!
  • You understand the value of diversity in the workplace and are dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work.

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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