- Credit Suisse Group AG
- $111,403.33 -53,240.00/year*
Financial Services - Banking/Investment/Finance
124 Maple Ave
Add your resume and apply to jobs with your Glassdoor profile. Create Profile. Job. As the Head of the Control Room, the successful candidate will:. Ensure that the Americas Control Room has the support and training to enable them to implement the Information Barrier policies & procedures and to create awareness regarding changes in the relevant regulatory requirements.. Perform and document detailed supervisory reviews of the Control Room responsibilities.. Coordinate with Global Control Room colleagues and ensure that business requirements in the region and local regulatory requirements are reflected in global procedures or policies that are adopted.. Maintain a continuous dialogue with other regional Control Rooms to ensure that policies and procedures followed by the Americas Control Room are consistent with those followed globally to the extent permissible by local regulations and market practice.. Keep up to date with developments in applicable laws, rules and standards.. Assess and advise on the implications, and implementation, of new circulars, guidelines, consultation papers, rules, enforcement cases and regulations issued by regional regulators.. Ensure that appropriate compliance policies are in place and effectively cascaded to the business.. Participate in relevant training plans for the Investment Banking and Capital Markets Division (in conjunction with IBCM Compliance) and Research Departments.. Provide relevant compliance input on policies owned by other groups, departments or businesses.. Ensure that an effective compliance monitoring and surveillance program is in place to detect or prevent conduct that may violate info barriers.. Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.. A basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank OR experience working for a Self-Regulatory Organization or other regulator (e.g. SEC).. Bachelor's degree (or equivalent) plus a minimum of 5 years of experience in legal practice, banking, securities industry, or regulatory related fields.. Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement.. Strong financial markets and product knowledge.. Outstanding analytical ability and excellent organization skills.. Resourceful, flexible and responsive in dealing with people.. Strong sense of loyalty and commitment to quality.. Proven management skills; the ability to lead and manage a high performing team.. Good interpersonal, communication, facilitation and presentation skills.. Experience with international organizations and the ability to work in an multinational environment preferred.
Associated topics: analyse, business analyst, business analytic, business finance, financial analytic, inspect, investment banking, refine, refinement, valuation analyst
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
Loading some great jobs for you...