- New York, NY, USA
- Permanent, Full time
- Credit Suisse -
- 18 Oct 18
Compliance Review Officer # 119671
The incumbent will be primarily responsible for managing and leading Compliance reviews. This will include:
- Scoping and determining appropriate methodology for reviews.
- Conducting interviews with relevant partners, including the Business.
- Performing testing and documenting results.
- Identifying issues, determining root cause, and proposing commercially viable solutions to mitigate risk.
- Drafting reports.
- Tracking issues to ensure they are closed out appropriately and in a timely manner.
- Working closely with line/product compliance.
- Communicating review results clearly and succinctly with senior management in Compliance, Legal the Business, and global colleagues, as applicable.
- Ensuring the Compliance Review team creates good working relationships with the Business, Audit and other control functions.
- Drafting, reviewing and revising existing procedures and dedicatedly improving processes as necessary.
- Expected to undertake this role for a minimum 2-3 years; work independently, take ownership of specific compliance reviews, and bring them to conclusion, while establishing solid relationships with Line Compliance and the Business.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- Bachelor's Degree strongly preferred
- JD/MBA preferred but not required.
- 3-6 years of Compliance, Regulatory, Audit, or Consulting/Advisory experience within a bank, investment adviser, broker dealer, federal agency, or financial services/consulting firm, including experience with institutional products and Asset Management (preferred) or Investment Banking.
- Strongly preferred: knowledge of Investment Advisers Act of 1940, and Investment Company Act of 1940.