Junior Compliance Officer Asset Management

Job description

Junior Compliance Officer Asset Management

We Offer...

The General Counsel Division of Credit Suisse is currently looking for a talented and motivated individual who will take on the Junior Compliance Officer Asset Management role in CoE Wroclaw in order to support the daily business in the Advisory & Control Group Asset Management Switzerland team.

You will become a member of an international team and receive close insights in a global Bank and the way compliance functions are conducted, associated risks measured and related monitoring topics in the Asset Management area covered. You will join a global community in a premium Swiss Bank and will become a member of a team focusing, inter alia, on a wide variety of compliance, reporting and monitoring tasks related to 1) the internal or external Legal Entities (i.e. “Boutiques”) serviced by the team, 2) the Portfolio Management business in general, 3) Mutual Fund and Foreign Fund Products as well as 4) the Marketing Materials involved.

You will be responsible for a growing variety of compliance coverage and compliance monitoring tasks within the following main areas:

· Reporting Assistance: You will be assisting with the regular monthly and quarterly reporting to the serviced Boutiques and in this context track the reporting frequency and the specific reporting obligations under agreements/manuals as well as collect issue reports/facts from various expert areas (e.g. Corporate Secretary, Anti-Money Laundering/Political Exposed Persons/Sanctions, Litigation).
· Portfolio Manager-related Monitoring: You will be performing spot-checks on due diligences regarding different investments or service providers conducted by Portfolio Managers in various business areas as well as spot-checks on pre-transaction monitoring checklists in the Real Estate area in order to ensure compliance with applicable regulation concerning Anti-Money Laundering, Sanctions, Bank Anti-Corruption Compliance. Furthermore, you will be entrusted with the maintenance of compliance training slides as well as policies for the Boutiques and you will in this context ensure they are up-to-date, tailored to the specific business units and meet corporate standards.
· Mutual and Foreign Funds related Monitoring: In respect of the Mutual and Foreign Funds related Compliance Monitoring, you will be responsible for a wide variety of tasks such as the review of Key Investor Information Documents (so called “KIIDs”) for Swiss funds and the preparation of the FINMA application, the matching of funds listed in internal tools with FINMA’s list of approved funds and the review whether such funds have already been launched, the collection of facts from the competent Asset Management businesses/bank departments for the quarterly legal entity certifications (e.g. shareholder structures, company representatives etc.) and the support of the review on 3rd party asset managers managing CS mutual funds in respect of compliance with applicable code of conduct rules by checking the involved questionnaires.
· Marketing Material Monitoring: You will be conducting spot-checks where Asset Management teams work under a so-called "Self-Compliance Exception" and review whether self-approvals by the competent businesses have been justified in the documented cases. Besides this, you will review and maintain up-to-date the Request for Proposal-Database where model answers are provided that may be used for client or third parties’ inquiries addressed to Credit Suisse and in particular the Asset Management business. At last, we would welcome your assistance in regular spot-checks on Marketing Material information logs used by the business to detect trends and review whether general rules as well as exceptions have been adhered to when such Marketing Materials were distributed to clients or other third parties.

You Offer...

· University degree, preferably in Law, Administration or Economy (compliance and/or legal background would be an asset)
· Good understanding of the complexity of financial services and the regulatory environment in general
· Sound knowledge of the Asset Management business and financial products, in particular collective investment schemes and related investment structures and vehicles, would be an asset
· Very good MS-Office skills  (in particular in Excel), knowledge of a SharePoint is a plus
· Good interpersonal skills, service oriented and reliable personality
· Effective verbal and written communication skills
· Ability to learn and apply learning quickly
· Excellent time management and organization skills, including the ability to handle multiple assignments simultaneously
· English to a business standard, German skills as an asset

 

 

 

If you apply for this role this means you agree with the following statement:

　

"Through my application for a role with Credit Suisse (Poland) sp. z.o.o. (the Company) I hereby authorize the Company to process my personal data for the purposes of job recruitment. Furthermore I declare that I am aware of the voluntary submission of data and I am informed about the right to access the data and the right to correct it, pursuant to the Personal Data Protection Act of 29 August 1997 (Journal of Laws [Dz.U] No. 133, item 883)". I authorize Company to process my personal data for future recruitment processes.

　

Furthermore, I authorize Credit Suisse Group AG and its’ affiliates, Taleo (UK) Limited, cut-e AG Kleiner Burstah 12 and milch & zucker The Marketing & Software Company AG to process my personal data.

　

Credit Suisse and affiliates registration details.-

　

Credit Suisse (Poland) sp. z.o.o Registered office - Rondo ONZ street, 00-124 Warsaw

Credit Suisse Group AG Registered office - Paradeplatz 8, 8001 Zurich, Switzerland and its’ affiliates

Taleo (UK) Limited Registered office - 78-586 Chiswick High Road, London W4 5RP, United Kingdom,

Cut-e AG Kleiner Burstah 12 Registered office - 20457 Hamburg, Germany and

Milch & Zucker The Marketing & Software Company AG Registered office - Küchlerstraße 1, 61231 Bad Nauheim "

 

EEO Statement

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

Desired profile

You Offer...

· University degree, preferably in Law, Administration or Economy (compliance and/or legal background would be an asset)
· Good understanding of the complexity of financial services and the regulatory environment in general
· Sound knowledge of the Asset Management business and financial products, in particular collective investment schemes and related investment structures and vehicles, would be an asset
· Very good MS-Office skills  (in particular in Excel), knowledge of a SharePoint is a plus
· Good interpersonal skills, service oriented and reliable personality
· Effective verbal and written communication skills
· Ability to learn and apply learning quickly
· Excellent time management and organization skills, including the ability to handle multiple assignments simultaneously
· English to a business standard, German skills as an asset