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Compliance Surveillance Analyst # 131855
at Credit Suisse
The Surveillance Compliance Analyst will join the Global Surveillance Team and support the Team's mission of serving as a robust, independent second line of defense within Core Compliance Services. The Surveillance Compliance Analyst will support the Americas Trade and E-Communications Surveillance Team and assist in the detection of potential market abuse and breaches of the bank's conduct rules and policies, as well as regulatory rules and standards.
Responsibilities include (but are not limited to):
- Reviewing Trade Surveillance alerts, as well as email, instant messaging, and other messages (E-Communications) to detect incidents of potentially abusive trading activity or misconduct.
- Identifying any irregularities or discrepancies as part of the review process and investigating and calling out activity as appropriate.
- Conducting targeted surveillance, monitoring, and testing reviews, in accordance with the CCS's program.
- Scope includes Fixed Income, Futures, Foreign Exchange, Prime Services and Equities products across Global Markets, IBCM and PB businesses.
- Understanding the systems in use, identifying risks, and ensuring efficiency of current solutions.
- Developing expert knowledge of regulations promulgated by various financial regulatory agencies, regulatory changes, and firm policies related to trade surveillance.
- Liaising and collaborating with IT Support, Compliance, Front Office and other business organizations to handle raised cases and potential changes regarding surveillance software and systems.
- Maintaining robust documentation for all desk activities and updating as required.
- Supporting the deployment of activities and contributing to the development and reputation of the team.
- Participating in meetings to identify improvements to the program.
- Reviewing trade scenarios for specific compliance risk concerns and draft memos summarizing findings.
- Developing Management Information (MI) for Senior Compliance managers.
- Assisting in responses to regulatory inquiries.
- Building and maintaining positive relationships with various business partners around the world.
- Other general compliance responsibilities, as directed by management.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- You have a College or University degree.
- You have compliance experience in a regulated industry - desirable.
- You have surveillance, compliance, or investigative experience in banking highly desirable.
- You are a confident team-player with strong interpersonal, communication, and presentation skills.
- You have accuracy and attention to detail, with strong follow-up.
- You can be agile and adaptable to changing environment.
- You have excellent organization skills, ability to prioritize effectively, and ability to work under pressure without compromising quality.
- You are motivated to work in a multicultural and an international environment.
- Understanding of banking industry and its regulatory environment.
- Proficiency in Microsoft Office skills, including Excel, Word, PowerPoint and Outlook.
- Ability to quickly learn new applications.