Control Room & Conflicts Compliance Officer
- 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.