Monitoring & Testing Compliance Officer, International Wealth Management - AVP

Recruiter
Credit Suisse
Location
London, UK
Salary
Competitive
Posted
16 Sep 2019
Closes
30 Sep 2019
Ref
1253075738
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
We Offer
The Chief Compliance Office at Credit Suisse strives to become a proactive, independent function that enables business divisions across the organization to challenge and effectively manage compliance risk. Our new management team is focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite. To fulfill our mandate we need the skills, experience and engagement of our employees. Our dynamic environment also means that you have the flexibility to help us define and establish new processes and procedures, start or expand a business and shape our company for the future. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.

  • A dynamic role in the UK Private Bank Compliance Monitoring & Testing (M&T) team with the primary responsibility in conducting monitoring and thematic reviews, thus helping the firm to manage it's conduct risk.
  • Planning, scoping and executing a wide range of thematic and monitoring reviews in line with CSUK standards giving the successful candidate to deepen their knowledge of private banking
  • Preparing M&T review reports for key partners to specified standards, including format and style. Presenting results to senior management
  • Defining and proposing recommendations as a result of M&T reviews, agreeing corrective actions as well as monitoring and validating their completion
  • Carrying out data gathering and preparation of annual Compliance Risk Assessment for the UK Business, analysis the results and reporting the outcome
  • Contributing to the development of the Annual Compliance Plan
  • Preparing executive level governance reports on behalf of International Wealth Management (IWM) Compliance
  • Supporting a variety of ad hoc projects and initiatives within the wider IWM UK Compliance team
  • Opportunity to personally influence the Bank's strategy on key Compliance issues. Regular liaison with business teams within the Bank, including senior partners throughout the business.


You Offer

  • You possess a methodical, structured and rigorous approach to delivery
  • Working knowledge and understanding of FCA and EU regulatory developments applicable to private banking/ wealth management activities
  • Ability to analyse and establish facts when presented with them
  • Deep understanding of compliance monitoring/testing methodology
  • Excellent written and oral communication skills and ability to deal with senior management
  • Ability to manage conflicting priorities and capable of problem solving
  • Ability to build strong working relationships with key partners at all levels
  • Degree educated
  • Accomplished experience of working in a Compliance department in a UK regulated firm with monitoring and/or internal audit experience
  • Track record with working independently as well as part of a team
  • Networking skills and the ability to build effective working relationships with a range of partners


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Credit Suisse is committed to providing equal employment opportunities, regardless of ethnicity, nationality, gender, sexual orientation, gender identity, religion, age, civil partnership, marital or family status, pregnancy, disability or any other status that is protected as a matter of local law.

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