Senior Control Room Compliance Officer
- Employer
- Credit Suisse
- Location
- Hong Kong, Hong Kong
- Salary
- Competitive
- Closing date
- Jun 3, 2023
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
You need to sign in or create an account to save a job.
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
You will join us as a Senior Control Room Compliance Officer. Your responsibilities include:
• Transaction review and maintenance in Deal Management System
• Maintain Watch and Restricted Lists in a timely manner
• Pre-clear trade requests and research reports for potential legal, regulatory or conflict issues related to names on the Watch and/or Restricted List
• Manage wall crossing requests in accordance with the Firm's wall crossing procedures
• Facilitate the Interdivisional Conflicts Clearance process
• Provide daily support to the APAC Control Room workflow, including training and guiding junior team members. Assist on controls to ensure accuracy and consistency of work performed by team members
• Provide ad hoc support on Information Barrier designation review and surveillance alerts escalated by Information Barrier Surveillance Team
• Work closely with advisory compliance to provide accurate and consistent advice to the business relating to Material Non-Public Information and Information Barriers
• Provide training on Control Room related topics as/when required, including on Above-The-Wall and Conduits
• Provide support during audit and regulatory inspections
• Handle/work on ad hoc issues and Control Room projects as requested by Control Room management
Your future colleagues
Hong Kong Control Room is a team within Credit Suisse's Chief Risk & Compliance Officer that builds an outstanding Risk and Compliance capability.
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.
You Offer
N/A - pending TWWW agreement
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.
We Offer
You will join us as a Senior Control Room Compliance Officer. Your responsibilities include:
• Transaction review and maintenance in Deal Management System
• Maintain Watch and Restricted Lists in a timely manner
• Pre-clear trade requests and research reports for potential legal, regulatory or conflict issues related to names on the Watch and/or Restricted List
• Manage wall crossing requests in accordance with the Firm's wall crossing procedures
• Facilitate the Interdivisional Conflicts Clearance process
• Provide daily support to the APAC Control Room workflow, including training and guiding junior team members. Assist on controls to ensure accuracy and consistency of work performed by team members
• Provide ad hoc support on Information Barrier designation review and surveillance alerts escalated by Information Barrier Surveillance Team
• Work closely with advisory compliance to provide accurate and consistent advice to the business relating to Material Non-Public Information and Information Barriers
• Provide training on Control Room related topics as/when required, including on Above-The-Wall and Conduits
• Provide support during audit and regulatory inspections
• Handle/work on ad hoc issues and Control Room projects as requested by Control Room management
Your future colleagues
Hong Kong Control Room is a team within Credit Suisse's Chief Risk & Compliance Officer that builds an outstanding Risk and Compliance capability.
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.
You Offer
N/A - pending TWWW agreement
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.
You need to sign in or create an account to save a job.
Sign in to create job alerts
Sign in or create an account to start creating job alerts and receive personalised job recommendations straight to your inbox.
Create alert