107 days ago on tas-creditsuisse.taleo.net

Compliance Officer for Suitability & Appropriateness Monitoring within International Wealth Management Division (IWM) - 80-100%

Credit Suisse AG

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Compliance Officer for Suitability & Appropriateness Monitoring within International Wealth Management Division (IWM) - 80-100%

Compliance Officer for Suitability & Appropriateness Monitoring within International Wealth Management Division (IWM) - 80-100% # 079960
Switzerland-Region Zurich-Zürich | Full-time | Corporate Functions | 

Job ID

 079960English

We Offer
 
  • A challenging function within the Chief Compliance Officer Organization in the International Wealth Management Division (Compliance & Regulatory Affairs) located in Zürich
  • Become a key member of the IWM Suitability Monitoring team, which is mandated to independently identify, assess and manage compliance risk in the area of suitability. Proactively evaluate the effectiveness of procedures and guidelines, which aim to mitigate such risks,
  • Provide guidance on suitability and appropriateness to the business and internal stakeholders from Compliance and General Counsel
  • Conduct monitoring of the suitability and appropriateness of investment activities conducted by IWM Relationship Managers and Investment Consultants, document results accordingly and escalate potential findings to Senior Management
  • Provide expert guidance on the development of relevant policies and control documentation
  • Execution of the recurring suitability & appropriateness monitoring for IWM Division, and preparation of senior management information reporting
  • Develop and cultivate strong working relationships with other departments within Compliance & Regulatory Affairs, General Counsel, the Business, Internal and External Audit, and other control functions, to continually improve our control environment 

You Offer
 
  • University degree in a Law / Economic related subject or an apprenticeship with further education (Diploma / Certificate in Compliance, AML or Financial Crime is desired but not essential)
  • At least three years of relevant experience, particularly in the field of Compliance, Risk Control, Risk Management or Audit
  • Strong verbal and written skills in German and English are a must, any additional language is a plus
  • Competent in the usual Microsoft applications
  • Demonstrated knowledge and understanding of risk control techniques
  • Sense for regulatory matters, with an enthusiastic approach to the role, together with attention to detail and well-organized, joined-up thinking and flexibility
  • High ethical standards and resilience levels, commensurate with working in a critical control function
  • Familiar with operating in a complex environment, including the reporting of management information and escalation of material risks to senior-management
  • Open and dedicated team-player who is keen to both share knowledge and learn from others

Ms. M. Moos (HIOD 22) would be delighted to receive your application.

Please apply via our career-portal.

Nov 2, 2016