Financial Crimes Compliance Coverage
Credit Suisse
Madrid, Madrid, Spain
hace 6 días

We Offer

The Chief Compliance and Regulatory Affairs organization at Credit Suisse strives to become a dedicated, independent function that enables business units across the organization to challenge and effectively manage compliance risk.

Our new management team is focused on achieving professional excellence by providing state of the art technology, strengthening surveillance and testing processes and by aligning controls to keep risk within appetite.

To fulfill our mandate we need the skills, experience and engagement of our employees. Our dynamic environment also means that you have the flexibility to help us define and establish new processes and procedures, start or expand a business and shape our company for the future.

We offer a fast-paced, collaborative and diverse work environment that will support innovation, creativity and entrepreneurial ideas.

The Compliance Department will be a Coverage compliance function for Global markets and Investment Banking and Capital Markets.

Due to relocation of significant number of front office staff from these two business divisions to European locations because of the Brexit event, we require a Compliance function to support these front office staff in the regions CS has decided to locate their principle European business.

As Madrid IB FCC Coverage Officer you will lead the FCC support of the Spanish IB business and in doing so work closely with the EMEA IB FCC Coverage team and other FCC supporting functions.

You will act as first point of contact for FCC queries and critical issues from the IB and its support functions in respect of business booking to or managed out of CSSSV.

With reports to the EMEA IB Coverage Head and to the local Money Laundering Reporting Officer (MLRO). Responsibilities include but are not limited to :

  • Acting as the primary local IB FCC contact in respect of all aspects of the FCC program. This includes providing general advice and guidance to the businesses on FCC matters on a dedicated and reactive basis.
  • Researching, analysing, and assessing information and representations made by Front Office relating to complex risk scenarios such as operations in high risk countries, dealings with complex structures, PEP nexus, reputational issues or other aspects of potential financial crime.
  • Liaising with both local and regional teams within FCC (e.g. Client ID, Surveillance & Investigations, Sanctions, ABC and Fraud) in order to provide a complete coverage model for the local business.
  • Delivering targeted face to face training on financial crime issues, typologies, policies and methodologies.
  • Assisting with the annual FC Risk Assessment by liaising with the business and driving through actions from the analysis of results.
  • Undertaking and / or assisting with desk reviews, as prioritised by the FC Risk Assessment and FCC Annual Programme.
  • Attending and providing FCC input to relevant local business committees and ensuring appropriate MI is submitted in a timely manner.
  • Ensuring all local reporting requirements are met and acting as the primary contact of SEPBLAC (AML Regulator) for IB issues.
  • Ensuring local FCC standards meet all local regulatory requirements as well as global standards and where necessary ensuring implementation of new AML regulations and internal requirements.
  • Management of the external and internal AML audits / exams for the IB business.
  • Ensuring FCC oversight of CSSSV client, transaction and product pipeline and provide FCC advice as appropriate.
  • Acting as local IB partner concern point for any issues relating to monitoring, screening, PEP, ABC, Fraud and sanctions alerts.
  • Provide support to the MLRO in their fulfilling local suspicious activity reporting obligations.
  • You Offer

  • Experience / understanding of Investment banking products.
  • Excellent knowledge of Spanish AML regulation.
  • Strong knowledge of AML, Sanctions and Anti-Corruption principles.
  • Excellent analytical skills and the ability to work independently.
  • A strong understanding of financial crime risk and mitigating controls.
  • Excellent management, teamwork, interpersonal, influencing and conflict resolution skills.
  • Agile and adaptable to changing environment.
  • Ability to work to deadlines.
  • Ideally extensive experience in operating in a Financial Crime Advisory Capacity within an Investment Bank. Holding either an ACAMS or ICA Diploma in aspects of Financial Crime.
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