Regulatory Reporting Associate
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POST DATE 8/24/2016
END DATE 10/30/2016
JOB DESCRIPTIONJob ID:
REGULATORY REPORTING ASSOCIATE
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.
In this role you be responsible for Regulatory Reporting, Tracking and Request Management. The main duties include:
* Respond and track regulatory electronic blue sheet requests from the SEC, FINRA and other SROs and assist as a back up to handle issues that arise regarding blue sheets requests.
* Assist with tracking, recording regulatory requests and exams.
* Assist with MI reporting, including reaching out to non-US, Americas regulatory exam team counterparts to obtain monthly updates on new and existing exams.
* Maintain tracker of both US exams and non-exam related regulatory requests.
* Assist with SEC/FINRA Continuous Monitoring program.
* Assist with routine and ad hoc regulatory requests, including examinations.
* Manage the CFTC 1.12m process.
* Oversee payment of regulatory fines, fees and invoices arising out of exams.
* Assist with special projects as necessary.
* 3-5 years of relevant Compliance/Regulatory or SEC/FINRA Regulatory Reporting experience, or equivalent;
* Bachelor s Degree required;
* Proficiency with MS Office, particularly Excel and familiarity with SharePoint;
* Comfort with use of data systems, including Electronic Blue Sheets system, MICOS, MyIncidents and TyMetrics;
* Ability to work independently and interact with all levels of management in a professional manner;
* Ability to handle confidential information with discretion;
* Excellent written and oral communication skills;
* Extremely detail-oriented with excellent organizational and interpersonal skills.
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.