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