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Surveillance Technical Officer # 131582

at Credit Suisse

Posted: 8/2/2019
Job Status: Full Time
Job Reference #: 131582

Job Description

Role Overview:


The individual should be an experienced Compliance Surveillance professional who has an excellent technical knowledge and understanding of the mechanics of surveillance scenarios - across both Trade and Electronic (E) Comms/Audio (A) Comms. The individual should be at the forefront of surveillance technology and be able to advise on the construction of the logic and parameters such that the alerts generated are of a high standard. This will involve developing positive relationships with key partners in the Front Office, Coverage Compliance and the relevant project teams.


Key Deliverables:

  • Developing and implementing key scenarios across Trade and E/A Comms surveillance
  • Owning and leading the periodic Market Abuse Risk Assessment (MARA) update process with the Front Office; Coverage Compliance and Surveillance
  • Providing project updates to the Surveillance management team on a fortnightly basis
  • Acting as a key partner in Surveillance governance forums
  • Engaging constructively with the Floor Surveillance Officers; the Wroclaw team and the Front Office to obtain feedback from the alerts so as to ensure ongoing refinement occurs
  • Manage the ongoing scenario Refinement Process and Change Process
  • Produce key performance metrics with a view to continual and ongoing improvement of alert logic and parameters
  • Take the lead in developing a process for utilizing Unauthorised Trading data within the surveillance structures and working closely with the Forensics Surveillance officer on developing deep dives
  • Working closely with the Floor Surveillance Officers, take the Compliance IT lead in developing a surveillance feed into the supervisory framework dashboard and ensure this is improved iteratively over time

Additional Duties and Responsibilities:

  • Be the IT project specialist for the surveillance team and have to hand immediate update on the progress of all surveillance projects
  • Be known to all partners as the surveillance project technician and develop constructive relationships with those stakeholders
  • Engage with supervisors to fully understand the Supervisory risk and controls framework with a view to incorporating surveillance escalations into the FLOD framework at a later date to align the 3 LOD's to cover off market conduct risk in an effective and holistic manner
  • Attend industry forums so that Credit Suisse Compliance Surveillance is fully aware of all technological offerings and new developments in this space
  • Challenge the IT project delivery teams and third party vendors as required


Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.


Education and Professional Qualifications:

  • Preferably degree but not essential

Work Experience/Background:

  • Compliance Surveillance background with both E Comms and Trade Surveillance experience
  • Project experience and good track record of delivery
  • At least 5/7 years financial services experience
  • Developing/designing surveillance algorithms experience essential

Technical/Business Skills & Knowledge:

  • You have deep knowledge of the North and South America regulations
  • You have strong technical experience of scenario logic and design
  • You have Project Management skills
  • You have deep knowledge of investment banking products
  • You have deep knowledge of all the conduct risks inherent in an integrated investment bank/AM/PB
  • Trade Surveillance, including Control Room type surveillance
  • E Comms experience essential
  • Experience in other surveillance techniques highly preferable
  • You are ambitious and passionate about the role