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Director, Regional Head of Surveillance - Americas
Credit Suisse
New York, NY, United States
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Credit Suisse is a leading global wealth manager with strong investment banking and asset management capabilities. Founded in 1856, Credit Suisse has expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, we are set for growth. We partner across businesses, divisions and regions to create innovative solutions to meet the needs of our clients—and to help our employees grow. It is a high priority for us to continually invest in our employees by providing ongoing opportunities for training, networking and mobility. Join us and let's shape the future of Credit Suisse together.
We Offer
• Implement and maintain a robust operating model within which the firms’ surveillance activities are carried out, as instructed by Global Heads. This should include, as a minimum, front to back governance of the alert disposition process; Training and QA of all analysts; provision of effective MI to the appropriate stakeholders; adequate change protocols; appropriate supervisory structures; appropriate escalation and investigation processes and periodic data quality checks.
• Ensure that the Trade, E Comms, Voice, S&A, Anti-Fraud and RM Surveillance teams are provided with the appropriate tools to conduct their roles and that the relevant scenarios in place are reflecting the specific firmwide market abuse risks across the various asset classes and business lines.
• Ensure that the activities performed are mapped back to an underlying risk assessment process.
• Act as a main point for escalations of issues arising from the surveillance BAU activities for the region.
• Work in close collaboration with CCRO IT to ensure the appropriate delivery of all surveillance programs including the data integrity programs.
• Work in close collaboration with CCRO COO for all surveillance strategic metrics including efficiency of surveillance scenarios.
• Work in close collaboration with the senior management and front office to ensure that surveillance activities across the first and the second line of defense are properly coordinated.
• Work closely with all relevant stakeholders across the three lines of defense to ensure, that the firm has taken a holistic approach to market abuse and related conduct risk mitigation.
• Provide surveillance expertise, management, strategy and oversight to Regional Surveillance BoW implementation.
• Strive to ensure that all regional surveillance activities are managed with a ‘best in class’ approach that is corresponding with the firms’ risk appetite in this space.
• Strike to ensure that all regional surveillance activities are aligned with the Global Surveillance strategy.
• Oversight of the regional surveillance control gateways and review of relevant metrics taking action as required.
• Escalate of all relevant surveillance issues to the Global Heads.
• Identify the key emerging industry risks with the horizon scanning lens.
• Oversight of any regional investigations emanating from surveillance activities.
• Participate in regional surveillance peer group discussions/regulatory forums.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
You Offer
• 10-15 years’ experience in the financial services industry.
• Strong people management and project management experience is essential.
• Excellent knowledge and understanding of all market conduct rules and the global regulatory landscape.
• Proven track record in managing compliance monitoring and surveillance teams with an ability to manage global large teams.
• Well known in industry peer groups/forums.
• Proven ability to manage both BAU and significant changes simultaneously and effectively.
• Strong analytical skills for assessing and managing risk.
• Excellent knowledge of all surveillance systems and their functionalities.
• Understanding of what makes a robust control environment globally.
• Strong knowledge of the different business lines and arising potential risks.
• Strong ability to engage with senior stakeholders.
• Excellent communication skills.
• Passion for the role.
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.