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2 May 2017
Full-Time Regulatory Senior Compliance Officer
Regulatory Senior Compliance Officer
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.
- 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 Applyhttps://tas-creditsuisse.taleo.net/careersection/external/jobdetail.ftl?job=086215&lang=en#.WQb6NcptavE
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