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Fixed Income Compliance Officer(VP)

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POST DATE 9/1/2016
END DATE 10/29/2016

Credit Suisse New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Mid-Career (2 - 15 years)
Bachelors Degree


Job ID:



New York



Business Area:

Corporate Functions



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.


An opening has arisen within the Compliance Advisory team that covers Global Credit Businesses within the Global Markets division. The Global Credit Compliance Advisory team performs an advisory, training and monitoring role in respect to all aspects of activity undertaken within certain Fixed Income desks including Securitized Products, Interest Rates and Foreign Exchange. Its primary objective is to ensure that the Business adheres to local regulatory requirements and Credit Suisse ( CS) group policies.


* To support, and where required enhance, the compliance control framework in relation to various Businesses with Global Credit.

* To provide compliance support, including transaction and policy advice, surveillance and training, to Global Credit Businesses.

The open position is to work within the Fixed Income Compliance Advisory coverage team, the role's core objectives are:

* To provide advisory compliance support to the Business on regulatory issues with respect to the Securitized Products, Asset Finance, Interest Rates and Foreign Exchange with regards to suitability, cross-border issues, offering and securities market restrictions.

* To provide support for various long term projects in Fixed Income.

* Review and approval of product/service-related materials such as marketing materials and presentations.

* To deliver compliance support to the Business on day-to-day questions and issues, including advice on the application of global compliance policies, exchange rules and regulations.

* To work with Legal, Core Compliance and other support staff across the region and in the other regions to advise on and address cross - jurisdictional compliance matters.

* To assist in responding to regulatory inquiries.

* Liaise with the desk and centers of excellence in connection with the research and close out of trade surveillance alerts.

* To manage forward regulatory changes affecting the Business, ensuring appropriate collaboration across Legal, Compliance, other Shared Services and the Business.

* To advise Business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk.

* To identify regulatory or reputational risks and escalate to senior management for resolution.

* To serve as a trusted advisor to the Business and senior management on compliance related matters.

* To communicate clearly and concisely on complex regulatory compliance issues to senior Business and Legal and Compliance management.

* To provide assistance in relation to control and regulatory incidents, audits and inspections within the Business.

* Development and delivery of high quality compliance training across the Business.

* Other general compliance responsibilities.




* 6+ years of relevant Compliance Officer experience at a broker-dealer, governmental agency or self-regulatory organization.

* Experience drafting policies, implementing procedures, training, monitoring and assessing risks; - Solid Fixed Income product knowledge.

* Experience with US Treasury Auctions, Primary Dealer Requirements and/or familiar with residential mortgage laws.

* Excellent inter-personal skills combined with solid character.

* The ability to interpret regulation and deliver practical advice.

* The ability to offer alternative solutions to difficult problems.


* College Degree preferred

* MBA a plus.


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.