Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.
We Offer The Chief Risk and Compliance Officer (CRCO) function was created in 2020 through the combination of previously separate Risk and Compliance functions, to further enhance the effectiveness and efficiency of our control environment amid stricter regulatory frameworks. The responsibilities of CRCO include Risk, ranging from Enterprise Risk management to risk and finance reporting, and regional risk teams covering the risk management for our entities, and Compliance, focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite. The success of CRCO depends on our ability to achieve our vision and fulfil our mandate, which in turn depends on the skills, experience and engagement of our employees. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.
A department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards.
The individual should be an experienced Compliance professional who can act as a final filter of surveillance alert escalations (Trade and Comms) before passing on to the Front Office individuals for response and supervisory sign-off. You are required to maintain constructive engagement with the Surveillance Centre of Excellence in Wroclaw; the Front Office and Coverage Compliance.
Provide accurate filtering of Level Three alerts before passing on to the Front Office for response and Supervisory sign-off - and to run down any delay in these sign-offs.
Engage with the Front Office and Coverage Compliance as necessary. Ensure a good knowledge of Front office procedures and business.
Conduct risk based monthly QA of all alerts reviewed by Wroclaw COE (Centre Of Excellence) analysts across Trade and Comms.
Roll out of formal training program to the Wroclaw COE analysts that is interactive with the QA process and industry/firm-wide developments.
Produce MI for consumption by senior Front Office supervisors and other business partners.
Take part in all relevant supervisory meetings and activities and be an integral part of the surveillance management team.
Additional Duties and Responsibilities:
Regular supervisory trips to the Wroclaw CoE.
Be the face of surveillance to the Front Office.
Mentoring of Wroclaw COE staff and be actively involved in talent identification and nurturing processes.
Coordinate with supervisors to fully understand the Supervisory risk and controls framework with a view to incorporating surveillance escalations into the FLOD framework at a later date.
Be integrated with the Coverage Compliance teams but maintain independence.
Open to discussing flexible/agile working.
Preferably degree or equivalent work experience. Surveillance background with extensive financial services experience. A preference for a Front Office / trading background. Detailed knowledge of ESMA MAR, all the conduct risks inherent in an integrated investment bank/AM/PB, the FCA handbook and other relevant regulations. Excellent interpersonal skills combined with outstanding attention to details and problem solving skills. Results-oriented, hardworking individual with ability to learn. Analytical and not afraid to challenge others. Detailed knowledge of investment banking products. You understand the value of diversity in the workplace and are dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. Credit Suisse is committed to providing equal employment opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law.
Credit Suisse is committed to providing equal opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law. Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success