151 days ago on tas-creditsuisse.taleo.net

Senior Compliance Officer Suitability & Appropriateness (S&A) Monitoring within International Wealth Management Division (80 -100%)

Credit Suisse AG

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Senior Compliance Officer Suitability & Appropriateness (S&A) Monitoring within International Wealth Management Division (80 -100%)

Senior Compliance Officer: Suitability & Appropriateness (S&A) Monitoring within International Wealth Management Division (80 -100%) # 079960
Schweiz-Region Zürich-Zürich   |   Vollzeit   |   Corporate Functions   |  

Stellen ID

  079960 English

We Offer
 
  • A challenging function within the Chief Compliance Officer Organization in the International Wealth Management Division (Compliance & Regulatory Affairs), located in Zürich
  • Be a senior member of the Suitability and Appropriateness Monitoring Team, which is mandated to independently identify, assess and be responsible for compliance risk in the area of suitability
  • Actively evaluate the effectiveness of procedures and guidelines, 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

You Offer
 
  • An university degree in a Law / Economics / Finance related subject, or apprenticeship with further education (Diploma / Certificate in Compliance is desired but not essential)
  • Five years minimum of relevant experience you have gathered in the area of Compliance, Risk Management, Audit or a related field
  • Strong verbal and written skills in German and English – any additional language you speak is a plus
  • You have successfully demonstrated your knowledge and understanding of risk control techniques
  • You are at ease with the various regulatory requirements relating to the suitability of advice (in particular with regard to Retail Clients)
  • You show a motivated and enthusiastic approach to the role, together with attention to detail, flexibility to adapt to the challenges of different projects, as and when they arise
  • You possess a high ethical standards and resilience, commensurate with working in a critical control function
  • You are confident with operating in a complex environment, including the reporting of management information and issuing of material risks to senior-management
  • As an open and dedicated team-player you are keen to both share knowledge and learn from others
*LI-CSJOB*
 
Ms. M. Moos (HIOD 22) would be delighted to receive your application.
 
Please apply via our career-portal.