This job listing has expired and may no longer be relevant!
2 May 2017

Full-Time Regulatory Senior Compliance Officer

Credit Suisse – Posted by admin Luxembourg, District de Luxembourg, Luxembourg


Job Description

Regulatory Senior Compliance Officer


We Offer

As a Senior Compliance Officer in the Regulatory unit of the Compliance Function, the employee is expected to:

  • Perform compliance supervision of Credit Suisse (Luxembourg) S.A. and its branches;
  • Ensure the identification and assessment of Regulatory risk and propose adequate mitigation measures;
  • Be an expert in Regulatory tools and systems and ensure adequate upgrade/fine-tuning needs are duly escalated and implemented;
  • Assist and advise staff members on Regulatory issues and standards;
  • Raise awareness of the staff through dedicated Regulatory training.


  • Responsible for analysis, assessment, follow up and monitoring on record-keeping, client information, marketing documentation and whistleblowing arrangements;
  • Lead or participate in Regulatory main projects at Luxembourg and European level and make sure Compliance risk coverage is harmonized across Credit Suisse (Luxembourg) S.A. and its branches;
  • Ensure at all time compliance with Credit Suisse group and international/European/local standards;
  • Provide adequate support in any regulatory review or request from internal/external audit, Credit Suisse Group or Regulators;
  • Propose enhancement of Regulatory tools, systems, policies and processes to achieve better efficiency and maximum risk coverage;
  • Make sure that his/her management as well as Credit Suisse (Luxembourg) S.A. Authorised Management have a holistic understanding of the existing Regulatory risks and mitigation measures taken. Maintain and update adequate Compliance indicators;
  • Ensure that findings and issues are promptly reported and escalated to the his/her management and ensure tracking and follow up of corrective measures;
  • Be responsible for the coordination and implementation at Luxembourg and branches level of the MiFID requirements.;
  • Be the central point of contact for advice and training on integrity towards clients, best execution, client order handling, protection of clients’ assets and suitability and appropriateness;
  • Regularly interface with the relevant staff member and Heads of departments and articulate Compliance views in such meeting;
  • Maintain and update Compliance Monitoring Program his/her area and perform adequate monitoring/testing as per program.

You Offer

  • Master degree in law, economics or finance;
  • Minimum of 5 years of relevant working experience within a Compliance function in Private Banking and/or Fund environment;
  • Good understanding and knowledge of the Luxembourg financial industry legal and regulatory environment;
  • Good understanding of Private Banking products and business;
  • An open, flexible, team-oriented personality with excellent communication skills and the ability to deliver pragmatic and commercial advice and to build a good relationship with business stakeholders;
  • Fluent in written and spoken English and French any additional language is a plus;
  • Good knowledge of MS Office Software.

How to Apply

Job Categories: Banking. Job Types: Full-Time.

533 total views, 2 today

Apply for this Job