Jr. Research Compliance Officer Jr. Research Compliance Officer …

Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Last application, 17 Jan 21
Competitive
Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Last application, 17 Jan 21
Competitive
Credit Suisse
Jr. Research Compliance Officer
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer
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 Conduct and Ethics Standards

The candidate for this role will work with the Compliance team supporting Securities Research and will gain exposure to the Bank's major divisions (i.e., CM&A, Sales & Trading, and Securities Research).

Responsibilities:
  • The candidate will be responsible for addressing queries / issues raised by Research Analysts, Research Management, investment bankers and other firm personnel related to conflicts management, the sharing of material non-public information, Analysts interactions with internal or external parties and other matters related to firm policies.
  • Monitoring of real time communications between Securities Research Analysts and CM&A personnel and would require providing feedback and guidance, as needed, during these interactions (both during chaperoning of conversations or while managing the electronic exchange of messages between the two parties).
  • Coordinate with Research management, General Counsel and compliance colleagues in Credit Suisse's Americas and overseas offices, as well as outside counsel.
  • Additional responsibilities will include drafting compliance policies and procedures for the Research Department, developing and executing monitoring activities, delivering Compliance training, coordinating with the Control Room, Legal and other support groups, developing and executing monitoring programs.


You Offer
  • Understands the value of diversity in the workplace and is dedicated to fostering an expansive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work.
  • Detailed knowledge of the Global Research Settlement and FINRA Rule 2241.
  • Excellent interpersonal and client service skills as well as have the ability to interact across senior levels of management on the business side
  • Outstanding problem solving skills with capability to analyze complex situations
  • Ability to work effectively and multi-task while working on long-term projects; required to have good drafting skills
  • Hardworking, result oriented with ability to learn quickly in a fast paced environment
  • Be able to work autonomously as an effective member of a dynamic team


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Credit Suisse complies with applicable federal, state, and local laws prohibiting discrimination in employment in every jurisdiction in which it maintains facilities. Subject to applicable law and regulatory requirements, Credit Suisse complies with state and local laws regarding considering for employment qualified individuals with criminal histories.
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