Senior Compliance Officer, Capital Markets & Advisory (EMEA)
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
The Chief Risk and Compliance Officer (CRCO) function was created in 2020 through the combination of previously separate Risk and Compliance functions, to further enhance the effectiveness and efficiency of our control environment amid stricter regulatory frameworks. The responsibilities of CRCO include Risk, ranging from Enterprise Risk management to risk and finance reporting, and regional risk teams covering the risk management for our entities, and Compliance, 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. The success of CRCO depends on our ability to achieve our vision and fulfil our mandate, which in turn depends on the skills, experience and engagement of our employees. We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.
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.
The role is to help provide compliance coverage for a busy Capital Markets and Advisory (CM&A) business, including Syndicate desks. CM&A works on areas such as M&A, Equity Capital Markets, Debt/High Yield Capital Markets including syndicate.
The role is at senior VP level (Junior Director will be considered), full time, based in London and will be reporting to EMEA Head of CM&A Compliance.
This role gives the candidate an opportunity to work in an advisory compliance role with lead responsibility to cover capital markets businesses. The candidate will be seen as a trusted advisor and the role will be driven by business needs and transactional developments.
This role requires active collaboration with other partners within and outside of compliance such as Research Compliance, Control Room, Control functions and CM&A Legal both within EMEA/US/APAC (as examples). Key tasks will include:
- Leading the provision of advice to the capital markets businesses on transactions, CS policies/procedures and regulatory requirements. This includes advice on market soundings, allocations, stabilisation.
- Developing a relationship with the business heads and teams across a range of businesses.
- Attendance and active participation at Business committees.
- Opportunity to undertaking some monitoring and review work.
- Developing and implementing new projects, initiatives and regulatory developments such as MAR, Brexit.
- Provision of regular training to the businesses.
- Opportunity to further develop an understanding of a range of businesses and activities across CM&A, such as M&A/UK Corporate Broking.
This role is open to discussion regarding flexible / agile working. You Offer
Must Have Skills and Qualifications: Excellent technical knowledge and extensive experience of investment banking and capital markets activities including syndicate. Solid understanding of regulatory requirements including MAR and market soundings, MIFID 2 and other relevant regulations. Outstanding written and verbal communication and presentational skills. Good approach to team work and cross-team co-operation. Proactive and flexible to adapt to new issues and multi task. Good experience in working on regulatory initiatives and getting things done. Outstanding analytical and problem solving skills. Desired Skills and Qualifications: The candidate is likely be educated to degree level but long-standing experience in Compliance and/or the industry would be considered. The candidate would also be inquisitive and interested to learn and investigate new issues that may arise. Experience of M&A/Corporate Broking/UK listing rules/sales and trading/loans is desirable. You understand the value of diversity in the workplace and is 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.. 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.
Credit Suisse is committed to providing equal 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.
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success