- New York, NY, USA
- Permanent, Full time
- Credit Suisse -
- 21 Mar 19
Americas IBCM Compliance Director #130042
The overall responsibility of the Head of AMRS IBCM Compliance is to provide independent compliance oversight of the AMRS IBCM business, in particular, ensuring compliance with Credit Suisse IBCM policies and procedures. The candidate will be responsible for implementing and managing the compliance program for AMRS IBCM Compliance. The candidate will be expected to exhibit influence and ensure accountability for Compliance elements of the CCRO Framework. The candidate will be expected to promote the culture of Compliance and encourage the identification, escalation and timely mitigation of compliance risks. Exercises judgement and influences business managers and peers to ensure enforcement of compliance programs, balancing business strategy with appropriate compliance risk management controls.
- Opportunity to work in an advisory Compliance role with lead responsibility to cover a significant business area within IBCM/GM Syndicate.
- Leading the provision of advice to the business on transactions, CS policies and procedures and regulatory requirements.
- Developing a relationship with the business heads and teams across a range of businesses.
- Plan and oversee the execution of monitoring activities.
- Developing and implementing new projects, initiatives and implement regulatory changes.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
Must have a thorough understanding of:
- Debt and equity capital markets, syndicate and investment banking coverage activities.
- Loan and leverage finance markets.
- Conflicts of interests and how they are managed.
Must have the ability to:
- Work with stakeholders to implement policies, procedures and regulatory requirements.
- Take risk-based decisions and appropriate courses of action in a timely manner.
- Work in a team and across other teams in CCRO and other functions.
- Write policies and procedures.
- Manage, develop and lead a team.
- Creatively develop monitoring exercises to ensure controls are operating satisfactorily.
- Take the lead in various forums as either the coordinator or as a participant.
The Ideal candidate will have 10+ years work experience in an investment bank/broker dealer or a law firm where a majority of the experience relates to securities laws and regulations surrounding investment banking related activities.