The individual should be an experienced Compliance Surveillance professional who has an excellent technical knowledge and understanding of the mechanics of surveillance scenarios - across both Trade and Electronic (E) Comms/Audio (A) Comms. The individual should be at the forefront of surveillance technology and be able to advise on the construction of the logic and parameters such that the alerts generated are of a high standard. This will involve developing positive relationships with key partners in the Front Office, Coverage Compliance and the relevant project teams.
Developing and implementing key scenarios across Trade and E/A Comms surveillance
Owning and leading the periodic Market Abuse Risk Assessment (MARA) update process with the Front Office; Coverage Compliance and Surveillance
Providing project updates to the Surveillance management team on a fortnightly basis
Acting as a key partner in Surveillance governance forums
Engaging constructively with the Floor Surveillance Officers; the Wroclaw team and the Front Office to obtain feedback from the alerts so as to ensure ongoing refinement occurs
Manage the ongoing scenario Refinement Process and Change Process
Produce key performance metrics with a view to continual and ongoing improvement of alert logic and parameters
Take the lead in developing a process for utilizing Unauthorised Trading data within the surveillance structures and working closely with the Forensics Surveillance officer on developing deep dives
Working closely with the Floor Surveillance Officers, take the Compliance IT lead in developing a surveillance feed into the supervisory framework dashboard and ensure this is improved iteratively over time
Additional Duties and Responsibilities:
Be the IT project specialist for the surveillance team and have to hand immediate update on the progress of all surveillance projects
Be known to all partners as the surveillance project technician and develop constructive relationships with those stakeholders
Engage with supervisors to fully understand the Supervisory risk and controls framework with a view to incorporating surveillance escalations into the FLOD framework at a later date to align the 3 LOD's to cover off market conduct risk in an effective and holistic manner
Attend industry forums so that Credit Suisse Compliance Surveillance is fully aware of all technological offerings and new developments in this space
Challenge the IT project delivery teams and third party vendors as required
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
You Offer Education and Professional Qualifications:
Preferably degree but not essential
Compliance Surveillance background with both E Comms and Trade Surveillance experience
Project experience and good track record of delivery
You have deep knowledge of the North and South America regulations
You have strong technical experience of scenario logic and design
You have Project Management skills
You have deep knowledge of investment banking products
You have deep knowledge of all the conduct risks inherent in an integrated investment bank/AM/PB
Trade Surveillance, including Control Room type surveillance
E Comms experience essential
Experience in other surveillance techniques highly preferable
You are ambitious and passionate about the role
Internal Number: 6238767
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