- New York, NY, USA
- Permanent, Full time
- Credit Suisse -
- 16 Jun 19
Global Markets Derivatives Compliance Officer # 133736
CCRO Division provides Compliance support to all business divisions across all regions of the bank. Our goal is to protect the reputation of Credit Suisse by ensuring that employees have the necessary tools and know-how to comply with all applicable internal policies and external rules and regulations. We support all areas of the business as they undertake the important task of managing their regulatory risks. In addition to our advisory role, we develop and issue policies and conduct Compliance training.
An opening has arisen within the Compliance Advisory team that covers the Derivatives and Convertibles businesses within the Global Markets division. The Compliance Advisory team performs advisory, training and monitoring roles in respect to all aspects of activity undertaken by the businesses. The team's primary objective is to ensure that the businesses adhere to local regulatory requirements and Credit Suisse ("CS") group policies.
- To support, and where required enhance, the compliance control framework in relation to the Derivatives and Convertibles businesses.
- To provide compliance support, including transaction and policy advice, monitoring and training, to the Derivatives and Convertibles businesses.
The role's core objectives are:
- Provide compliance advice and trading floor support to the businesses regarding regulatory issues, real-time trading and sales questions, and technology improvements and initiatives.
- Assist in directing the development and implementation of procedures to ensure the business lines' compliance with all regulatory, governmental and CS rules, regulations, policies and standards.
- Draft and implement compliance policies covering new or amended laws, rules, regulations and/or best practices.
- Coordinate with General Counsel and/or outside counsel on issues escalated to Compliance related to transaction level questions, regulatory inquiries, exams or investigations.
- Develop and conduct compliance trainings.
- Participate in new business projects.
- Conduct monitoring activities.
- Track regulatory developments and trends.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- At least 5 years of Derivatives Compliance experience at a broker dealer, government agency or self-regulatory organization.
- The ability to work independently a fast-paced environment while remaining diligent, focused, and organized in your work.
- Effective communication on complex, often difficult topics involving senior management.
- Critical thinker with the ability to assess complex problems and apply non-routine analytic processes and tools to draw conclusions. Ability to evaluate qualitative information and synthesize analysis to make recommendations.
- Ability to apply in-depth knowledge of business practices, regulatory requirements and expertise in Compliance methodologies to the analysis of current internal processes and procedures.
- Ability to communicate complex or difficult concepts and negotiate and influence others to adopt different points of view across various departments and regions domestically and globally.
- Expertise in the use of Bloomberg, Excel and PowerPoint.
- Ability to prioritize activities. Ability to lead multiple work streams to achieve departmental goals.
- Challenges status quo and contributes to change. Stretches themselves and others to lead things forward.
- Shows true concern for Compliance and control standards, protects the bank's reputation and earns our clients' trust.
- Is diligent, focused and organized in her/his work: meets deadlines, strives for high quality, has complete documentation.
- Communicates effectively; moves easily from discussion to agreement. Develops sustainable relationships with colleagues.
- Experience in project management with implementation of new regulations.
- Flexibility in order to be at work for early morning meetings; long hours are sometimes required. Must be able to work in a fast-paced environment.