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Senior Compliance Officer: Suitability & Appropriateness (S&A) Monitoring – Private Banking


Credit Suisse is a leading global wealth manager with strong investment banking and asset management capabilities. Founded in 1856, Credit Suisse has expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, we are set for growth. We partner across businesses, divisions and regions to create innovative solutions to meet the needs of our clients—and to help our employees grow. It is a high priority for us to continually invest in our employees by providing ongoing opportunities for training, networking and mobility. Join us and let's shape the future of Credit Suisse together.

 

We offer…

As an experienced Compliance Officer, your role will be to support your Compliance manager in conducting S&A monitoring for Credit Suisse (Luxembourg) S.A. and its branches as well as for other Credit Suisse locations in Europe.

  • A challenging function within the Compliance Review Team Europe located in Luxembourg
  • Be a senior member in charge of Suitability and Appropriateness Monitoring,
  • Independently identify, assess and be responsible for compliance risk in the area of S&A,
  • Actively evaluate the effectiveness of procedures and guidelines (in particular with the implementation of MiFID II), which aim to mitigate such risks and provide authoritative mentorship on the development of relevant policies and control documentation,
  • Act as a source of subject matter expertise and provide guidance on suitability and appropriateness related matters to the business and internal partners from Compliance and General Counsel
  • Conduct and help handle the monitoring of investment activities conducted by IWM Relationship Managers and Investment Consultants, document results accordingly, agree effective corrective actions and raise potential findings to Senior Management
  • Play a key role in the development and execution of the IWM annual Suitability & Appropriateness monitoring plan
  • Develop and cultivate strong working relationships with other departments in Compliance and Regulatory Affairs, Internal and External Audit and other control functions, in addition to the Front Office, to continually improve our control environment
  • Travels to Europe (10-25%).

You Offer...

  •  A university degree in Finance or Economics or comparable degree;
  • Minimum of 10 years’ experience in the banking sector within a Compliance, Audit or similar function;
  • A high standard of written and spoken English; other languages would be an advantage;
  • Familiarity with standard MS Office products, as well as a flair for figures;
  • An independent approach to your work, combined with the ability to identify the relevant compliance considerations in any given situation;
  • Excellent analytical, organizational, communication and interpersonal skills;
  • Reliability, the ability to grasp relevant issues quickly, and meticulous attention to detail;
  • An open, flexible, team-oriented personality; excellent time management skills
  • Ability to work under pressure.
Lieu   Luxembourg
Salaire Not communicated
Catégorie Comptabilité / Finance, Banque, Conseil / Audit / Fiscalité
Termes CDI, Temps plein
Dernière mise à jour 24/03/2017
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