Control Room & Conflicts Compliance Officer Control Room & Conflicts Compliance Officer …

Credit Suisse
in New York, NY, United States
Permanent, Full time
Be the first to apply
Competitive
Credit Suisse
in New York, NY, United States
Permanent, Full time
Be the first to apply
Competitive
Credit Suisse
Control Room & Conflicts Compliance Officer
We Offer
  • Provide guidance to research, investment banking, capital markets and other compliance personnel relating to Information Barriers and applicable laws and Bank policies.
  • Maintain the Watch and Restricted Lists (i.e., obtaining timely updates from Investment Banking and Capital Markets personnel and making determinations with respect to imposing restrictions on the firm's Research and/or Trading activities)
  • Review cross-divisional conflicts submissions working with other stakeholders including Investment Banking & Capital Markets and Legal;
  • Advise on Compliance issues, coordinate escalations; produces metrics for various stakeholders
  • Development and implementation of Bank policies and prodecures relating to Information Barriers
  • Review of research publications to identify potential conflicts of interest and taking into account applicable laws and Bank policies regarding dissemination of research.
  • Review and implement Over the Wall requests
  • Assist in maintaining and updating compliance manuals, policies and procedures.
  • Assist in preparing and and presenting Compliance training programs.
  • Development, testing and implementation of the Control Room Systems.
  • Manage multiple, deadline-oriented tasks in a fast-paced environment


Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.

You Offer

  • A basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank or experience working for a Self-Regulatory Organization or other regulator (e.g. SEC).
  • An ideal candidate will have at least 7 years of compliance experience.
  • BA\BS preferred
  • Series 7 a plus, but not required
  • Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement.
  • Ability to handle confidential information and matters with discretion.
  • Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
  • Proactive,detail-oriented and well organized
  • Ability to work independently and interact with all levels of management in a professional and positive manner
  • Strong interpersonal, communication and presentation skills.
  • Strong analytical and process management skills.
  • Proficiency in Microsoft Office products (Word, Excel, Outlook & PowerPoint, as well as the ability to quickly learn other computer applications.


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