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Personal Account Trading Compliance Officer # 134655

at Credit Suisse

Posted: 8/1/2019
Job Status: Full Time
Job Reference #: 134655

Job Description

• Provide support for the review personal accounts of firm personnel, related trading activity, and their outside business activity disclosures for Compliance with related policies;
• Developing and executing compensating controls for system data issues
• Assist in the updates of firm policies and procedures related to personal trading and outside activities;
• Assist in the planning, testing, maintenance, and improvements to systems and processes related to  personal trading and outside activities;
• Request and review account documentation, including hard copy statements, from firm personnel to evidence compliance with firm policies;
• Assist in providing risk and performance metrics related to processes;
• Assist with topic-related trainings and communications; and
• Other general compliance responsibilities.


Qualifications

As a new or recent graduate (0-2 years) we are seeking individuals who:
• Exhibit good organizational skills in the context of managing own activities and supporting those of relevant teams
• Have the ability to focus on details and identify larger patterns and issues
• Have solid communications skills; can communicate clearly and uses concise explanations
• Assumes accountability for their tasks and results. 
• Is an engaged team member and has a positive attitude towards team work, but able to work independently
• Proactive and energetic
• Proficiency with Microsoft Office applications: Excel, Word, PowerPoint
• Desirable knowledge / experience includes
understanding of compliance issues in financial services businesses and processes