- Raleigh, NC, États-Unis
- CDI, Plein-temps
- Credit Suisse -
- 18 juin 18
Scenario and Detection Testing Lead # 110348
Chief Compliance & Regulatory Affairs Division (CCRO) provides compliance support to all business divisions and Shared Services functions across all regions of the bank. Our goal is to protect the reputation of Credit Suisse by ensuring that employees have the necessary tools and know-how to comply with all applicable internal policies and external rules and regulations. We support all areas of the business as they undertake the important task of managing their legal and regulatory risks. In addition to our advisory role, we develop and issue policies, conduct compliance training and perform monitoring and surveillance activities.
The Core Compliance Services function, oversees the global framework and enterprise wide standards related to the mandated disciplines (Trade Surveillance, Suitability & Appropriateness, Compliance Reviews, Communication Surveillance, Policy & Training, Disciplinary, Registrations, Whistleblowing).
Reporting into the Global Head of Monitoring and Testing, the role of Vice President of Scenario and Detection Testing will be responsible for the Scenario and Detection Program. The scope of the role will include executing thematic and other types of internal reviews across CCRO divisions to test the sustainability of the control environment.
The role involves:
- Directing compliance reviews which will include, but not limited to,
- Scoping reviews
- Testing Approaches and scripts
- Testing Results
- Review issue capture
- Work closely with line/product compliance throughout the review process
- You will define procedures and proactively improve processes as necessary
- You will review and verify compliance with applicable policies and procedures leveraging existing risk assessment processes and other drivers of the annual plan.
- Review compliance testing results, evaluate internal controls and identify deficiencies and anticipate and provide solutions to improve the program.
You will be expected to undertake this role for a minimum 3 years. In that time, it is expected that you will lead the development of the Compliance review program, support establishment of solid relationships with Line Compliance and the Business.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
- You have a minimum of 15+ years' experience in financial services is required and an advanced degree in business or similar is preferred
- You have 5+ years of compliance, regulatory, or audit experience including experience in Investment Banking, Private Banking and/or Asset Management
- You have demonstrated accountability for any processes or projects and actively handles priorities
- You have excellent written, verbal communication and platform presentation skills
- Demonstrated analytical skills and knows what questions to ask
- You have high ethical and control standards, commensurate with working in a critical control function
- You are self-motivated and be a solid communicator within a hierarchical structure
- You hold a Bachelor's Degree
- You have JD/MBA preferred but not required
- You will have experience interacting with knowledgeable and demanding audiences at all levels of management
- You are expected to demonstrate integrity, flexibility, versatility and an ability to shepherd multiple concurrent priorities to completion without significant guidance
- You should have shown success in coordinating large scale initiatives involving geographically and functionally diverse business partners