Job Description

Your field of responsibility
Join us as a Senior Compliance Officer of the APAC Surveillance team to conduct e-Communication and suitability surveillance to protect the integrity of the bank and its clients by uncovering potentially abusive market and internal activities. In this role, you will be responsible for directing a team of analysts in Pune who coordinate the APAC e-Communication and Suitability & Appropriateness Surveillance program. This includes identifying and investigating risks, ensuring that risks are understood and bridging any potential gaps in knowledge. You keep abreast of the supervisory Risk and Control Framework, APAC Investment Suitability Framework, APAC e-Communications Surveillance Framework, front office procedures, regulatory requirements relating to suitability as well as global initiatives. As a Team Leader you will also be encouraged to maintain and chip in to the development of the program to ensure that it continues to be robust, addressing the inherent risks of market abuse financial services, insider trading, and other compliance issues. You will be the key driver in leading the Pune Surveillance team working along with Singapore Surveillance team, across Compliance group and the business. Responsibilities Encouraged:

• Manage a team of e-Communication and Suitability & Appropriateness Surveillance analysts, as well as, having oversight to cover across other surveillance teams as we establish the team capabilities;

• Successfully implement/support the Control Gateways of the Global Surveillance program and evaluate and assess the strengths and weaknesses;

• Review e-Communication Surveillance and Suitability & Appropriateness alerts generated by the surveillance systems to identify potential red flags and policies breaches; taking the appropriate steps to investigate potential cases and raising based on the Alert Disposition Procedure;

• Conduct targeted e-Communication and Suitability & Appropriateness surveillance investigations;

• Perform quality assurance controls of the e-Communication and Suitability & Appropriateness alerts closed out by the Team;

• Conducting gap analysis of the e-Communication and Suitability & Appropriateness surveillance processes and propose potential improvement actions;

• Liaise and collaborate with Compliance, Front Office and other business groups to manage escalated cases and potential changes regarding surveillance systems;

• Identify the key emerging industry risks any global and regional investigations arising from surveillance activities. Participate in global and regional surveillance peer group discussions/regulatory forums;

• Develop an understanding of the systems in use, identifying risks and chipping in to the efficiency and effectiveness of existing surveillance routines as well as to the development of new risk scenarios;

• Build a working understanding of the regulatory landscape related to surveillance including, relevant regulations, regulatory changes and Credit Suisse policies;

• Maintain and update e-Communication and Suitability & Appropriateness surveillance governance documentation as well as, track metrics of monitoring activities for Management Information.

While doing this, you will build and maintain strong relationships with high-level partners around the world (e.g. Front Offices, Compliance Departments, Traders), and support the deployment of activities assisting in the development and reputation of not only the department, but also the bank as a whole. This role enables you to demonstrate your sense of ownership, strong communication skills, accountability as well as time-management.

Your future colleagues

Our dedicated surveillance team members are exceptionally driven, dedicated and collaborative. Through active participation in regular team meetings to share lessons learned and best-practices, work closely with your colleagues and team-leads to learn from their experience and deliver tasks in line with partner’s expectations. To deliver the best outcome for your team, proactively collaborate with your team-lead and offshore team members to manage the alerts volume and enhance efficiency and effectiveness of the existing surveillance methodology. Become part of an inspiring team with many highly skilled analysts and get the opportunity to work in a dynamic international environment. We are 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 cultural values.

Your skills and experience
We are looking for applicants who possess a University degree along with goal oriented working style; Open, flexible and a positive team-oriented demeanor with the following skills and abilities:

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• Surveillance, compliance, or investigative experience in banking is highly desirable; alternatively, compliance experience in other regulated industries is desirable
  
• Proficient communication and presentation skills, especially about communicating with a broad range of technical and non-technical staff
  
• Proven ability to quickly learn new surveillance software as well as back-end analysis of the software
  
• Attention to details but also able to take a big picture approach
  
• Proactive and assumes accountability for their tasks and results
  
• Motivated to work in a multicultural and an international environment
  
• Can manage workload and thrive under pressure
  
• Knowledge of any other foreign language would be an advantage
  
• Understanding of the Trading and/or Banking industries and applicable global regulatory environment. Knowledge of Bloomberg, Thomson Reuters or equivalent would be an asset
  
• Detailed knowledge of MS Office package (especially Excel)
  
• Dedication to fostering an inclusive culture and value diverse perspectives.

Your new employer

Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training. We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients. Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. We are committed to building a culture of inclusion with a deep sense of belonging for all of us. We will consider flexible working opportunities where possible. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.