What are the responsibilities and job description for the Information Barrier Surveillance Analyst position at Credit Suisse?
Join us as a Compliance Officer within the Global Information Barrier Team and support the Team’s mission of serving as a robust, second line of defense within Chief Compliance Office of Credit Suisse. The team conducts surveillance on trading activity in Firm, Customer and Employee accounts to identify and mitigate regulatory risk as it relates to the Firm’s Information Barrier and Restricted list policies. Surveillance involves the use of exception-based reports to identify the aforementioned activities. The Information Barrier Surveillance team covers a variety of business including Fixed Income, Futures, Foreign Exchange, Prime Services, Equities, and Equity Derivatives products across Global Markets & Capital Markets and Advisory businesses.
Responsibilities include but are not limited to:
- Surveillance using Compensating Controls, manual and automated, on trading activity in Firm, Customer and Employee accounts to identify and mitigate regulatory risk as it relates to the Firm’s Information Barriers policy and Restricted list policy
- Investigation of potential violations and abusive trading activities identified using Compensating Controls
- Communication with traders and compliance officers to resolve potential breaches of information barriers policies
- Work closely with Technology to implement changes to existing surveillance Compensating Controls and implement new ones where necessary; including the drafting of business requirement documents and performance of user acceptance testing
- Close liaison with the Global Control Room Compliance officers globally
- Provide metrics and other reporting to senior management on the results of surveillance activities
- Management of multiple, result oriented tasks in a fast-paced environment
Your future colleagues
The team is an element of the Global Surveillance function, with staff located across the globe including Raleigh and Wroclaw. The Pol Surveillance Team covers both global markets and International Wealth Management across all of the Americas, including the US, Brazil, Mexico, and Canada. The team, which includes a variety of other analysts, Assistant Vice Presidents, and Vice Presidents is located throughout the Americas including New York, Raleigh, and Sao Paulo, Brazil. We are 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 cultural values
This position offers remote working opportunities for an agreed amount of days per week.
We are looking for applicants who possess a Degree in Finance, Accounting or IT along with equivalent experience of 3 years in a control room, compliance, or investment banking or global markets' business including in an operations/product control role or client facing
- Detailed understanding of financial products and services and understanding of banking industry and its regulatory environment
- Phenomenal analytical skills and attention to details
- Ability to learn new systems and solutions quickly
- Desire to perform in a risk & control function is essential
- Excellent social skills with the ability and confidence to discuss issues at a senior level
- Motivation and reliability, ability to work well and seamlessly within a team
- Enthusiastic and positive approach to challenges
- Attentive to detail and is a problem solver and well-organized
- Excellent written and verbal communication skills. Along with an ability to exercise good judgment and realize own limitations and knows to raise appropriately
- Willingness to undergo on-the-job as well as more formal training for career development
- Excellent team-player who regularly engages in knowledge share
- Dedication to fostering an inclusive culture and value varied perspectives.
Your new employer
Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.
We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. We are committed to building a culture of inclusion with a deep sense of belonging for all of us. We will consider flexible working opportunities where possible. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.
Credit Suisse complies with applicable federal, state, and local laws, as well as regulatory requirements, regarding considering of employment qualified individuals with criminal histories and prohibiting discrimination in employment in every jurisdiction in which it maintains facilities.
All Credit Suisse employees in the USA must be fully vaccinated against COVID-19 and submit proof of vaccination prior to their start date, except where exempted by applicable law.