Control Room/Conflicts Compliance Officer(AVP-VP) # 083684
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POST DATE 8/27/2016
END DATE 11/21/2016
New York, NY
JOB DESCRIPTIONJob ID:
CONTROL ROOM/CONFLICTS COMPLIANCE OFFICER(AVP-VP) # 083684
CREDIT SUISSE COMPANY OVERVIEW
Credit Suisse is a leading global wealth manager with strong investment banking and asset management capabilities. Founded in 1856, Credit Suisse has expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, we are set for growth. We partner across businesses, divisions and regions to create innovative solutions to meet the needs of our clients and to help our employees grow. It is a high priority for us to continually invest in our employees by providing ongoing opportunities for training, networking and mobility. Join us and let's shape the future of Credit Suisse together.
* 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).
* Review cross-divisional conflicts submissions and query Control Room systems, working together 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 procedures 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.
* Assist in maintaining and updating compliance manuals, policies and procedures.
* Assist in preparing and presenting Compliance training programs.
* Development, testing and implementation of the Control Room Systems.
* Manage multiple, deadline-oriented tasks in a fast-paced environment.
* 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 3-5 years compliance experience.
* BABS required.
* Series 7 a plus.
* 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.
* Extremely detailed oriented, with solid follow-up.
* For projects ability to work independently and interact with all levels of management in a professional and positive manner.
* Solid interpersonal, communication and presentation skills.
* Solid analytical and process management skills.
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.