Compliance - Control Room Trade Surveillance Analyst / AVP #085627

Job description

The Chief Compliance and Regulatory Affairs (CCRO) organization at Credit Suisse strives to become a proactive, independent function that enables business units 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.

Our Compliance Control Room is looking to hire a Trade Surveillance Analyst to:

· Formulate and implement the Firm's Information Barrier and other policies and procedures with respect to Investment Banking Capital Markets, International Wealth Management, Global Markets, and Corporate Function personnel.
· Review the firm's Equities, Fixed Income, Derivatives trading against the Restricted and Watch Lists.
· Perform other surveillance as necessary including e-mail reviews and monitoring access to syndicate level information.
· Assist in regional and global projects with IT and others relating to surveillance.
· Perform position checks for various regulatory reporting and other purposes.
· Advise Sales and Trading on the implementation and execution of Restricted List trades.
· Pre-clear proprietary trades in accordance with the Firm's policies on large equity holdings.
· Pre-clear exercise of voting rights relating to proprietary positions in equity instruments.
· Advise employees on the Firm's employee trading policy and pre-clear personal account trades.
· Administer the Firm's Access Person policies in conjunction with employee trading in Firm securities.

Desired profile

·  At least 2+ years relevant experience within Financial Services, ideally within a Compliance Control Room / Trade Surveillance function within a global investment bank across asset classes.
·  Ability to handle confidential information and matters with discretion.
·  Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
·  Extremely detailed oriented, with solid follow-up.
·  Ability to work independently and interact with all levels of management in a professional and positive manner.
·  Solid interpersonal, communication and presentation skills.
·  Solid analytical and process management skills.
·  Proficiency in Actimize, Bloomberg and Microsoft Office products (Word, Excel, Outlook & PowerPoint) and the ability to quickly learn other computer applications).