Compliance Surveillance Analyst Compliance Surveillance Analyst …

Credit Suisse
in New York, NY, United States
Permanent, Full time
Be the first to apply
Credit Suisse
in New York, NY, United States
Permanent, Full time
Be the first to apply
Credit Suisse
Compliance Surveillance Analyst
We Offer
An exciting and challenging role as an Investigator in the U.S. Financial Crime Compliance Investigations Team within Chief Compliance and Regulatory Affairs (CCRO).

You represent the team at functional and divisional management meetings, you work as a partner with senior management to ensure compliance with regulatory requirements and Bank's Policies, Procedures and Standards in a controlled and compliance oriented manner.

Functional Responsibilities include:

Conduct in depth investigations into potential financial crimes in the broker dealer products and services (e.g. Securities Trading) and institutional banking (e.g. Syndicated Loans) space. Primary task within this function include:

  • Review of client new account files
  • Conduct due diligence on relevant persons/entities
  • Request information and conduct meetings with business partners
  • Review wire transfer activity
  • Review trading activity
  • Review loans activity
  • Build written case summary reports
  • Present case summaries to Supervisors and other management staff
  • Recommend the filing of Suspicious Activity Reports (SARs)

  • Prepare and file SARs

  • Take additional actions related to investigations that may include, account terminations/restrictions, recommend enhanced monitoring of clients activities, recommend account profile updates
Contribute in the performance of USA PATRIOT Act Section 312 regulatory required periodic reviews of higher risk Foreign Correspondent Account (FCA) relationships

Perform control tasks as needed to support the Investigative staff functions such as:

  • Handling the critical issues of the department (e.g. opening case investigations and assigning to Investigators)
  • Preparing Management Information reports as needed
  • Assisting senior investigators as needed with more complex investigations

Procedural responsibilities include:

  • Ensuring case work in completed in line with procedural guidelines
  • Ensuring case files are kept current and detailed
  • Prioritization of high risk items as well as raising it to senior management where appropriate

You Offer
This role requires excellent analytical, organizational and time management skills with outstanding written and verbal communication and people management skills. The ideal candidate would possess the following qualifications and skills:

  • 4 year College degree
  • A minimum of 4 years of Compliance experience in a comparable role in the banking industry or related work experience with a regulatory body.
  • Prior Broker Dealer related investigations experience conducting insider trading, market manipulation type investigations
  • Certifications are a plus but not required (e.g. ACAMS, Series 7)
  • Detail oriented, with outstanding interpersonal and organizational skills
  • Flexibility to adapt to short term changes
  • Proactive approach, willing to suggest and develop new ideas
  • Detailed knowledge of the USA PATRIOT Act and BSA requirements
  • Investment Banking and Private banking experience is a plus!
  • Proficient Office skills including PowerPoint, Excel, Word and Outlook