Asset Management Compliance Officer - Credit Investments Group
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
- 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
- Dynamic, fast-paced and rewarding work environment.
- Lead a team providing compliance coverage to the Credit Investment Group, a bank loan and fixed income investment boutique with over $60bn of AuM, with a focus on control framework, new product development and fund launches, sales, and distribution matters.
- Manage daily activities; including reviewing responses to client and prospects, and providing approvals related to trading, information barrier and specialist networks.
- Compile and organize information relative to, and produce the final written version of, the CCO Reports in connection with Rules 38a-1 and 206(4)-7.
- Provide training to the businesses, both in-person and by compliance alerts.
- Oversee all aspects of trade surveillance activities performed by Central Compliance.
- Proactively produce and/or update and revise Compliance manuals, internal procedures, Compliance policies and alerts, on both a routine and as-needed basis.
- Routinely assess regulatory developments, inform partners and their impact on the firm and determine the appropriate actions to ensure the firm is positioned to follow the new requirements.
- Assist the dedicated Compliance Review Group in the execution of strategic desk reviews, manage the development and execution of efficient monitoring activities.
- Perform annual Compliance Risk Assessment, participate in the business led Risk and Control Self-Assessment, and identify and implement corrective actions to issues identified during these processes.
- Collaborate with other Central Compliance areas (e.g. Control Room, Financial Crimes, Anti-Bribery/Corruption) and other control functions and members of the Legal department.
- 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.
- Possess College degree, J.D. a plus!
- Equivalent experience of at least 10+ years with Asset Management Compliance!
- Detailed knowledge of Investment Advisors Act, Investment Company Act, FINRA requirements, ERISA, cross-border rules and other securities laws and regulations.
- Equivalent work experience at financial institution/global financial services firm.
- Experience with registered funds compliance including Rule 38a-1.
- Outstanding critical thinking skills and effective challenge of business and compliance controls and procedures.
- Ability to lead and execute multiple projects and tasks and deliver high quality, accurate work product on time.
- Hardworking with an ability to work independently with minimal direction or oversight.
- Ability to identify control weaknesses and build corrective measures.
- Strong communication (written and verbal) skills.
- Ability to perform in a fast-paced and complex environment.
- Proactive, result oriented with and good leadership and problem solving skills.
- Familiarity with Microsoft Excel, PowerPoint and Word is a plus!
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Credit Suisse complies with applicable federal, state, and local laws prohibiting discrimination in employment in every jurisdiction in which it maintains facilities. Subject to applicable law and regulatory requirements, Credit Suisse complies with state and local laws regarding considering for employment qualified individuals with criminal histories.