Credit Suisse Head of Australia Control Room Officer # 108071 in NSW, Australia

Head of Australia Control Room in APAC Chief Compliance and Regulatory Affairs - VP

• Provide day to day compliance advisory services supporting the firm as a whole on information barrier and research clearance related issues.

• Manage Australia Control Room and coordinate with Australia business when any information barrier and research clearance related issues

• Lead and manage specific legal and compliance projects from a Control Room perspective (i.e. information barriers, research clearance and Cross Divisional Conflict Clearance, etc.)

• Maintain the Watch and Restricted Lists

• Review Equity and Fixed Income Research reports for potential conflicts with the Watch and Restricted Lists

• Review Equity Research for compliance with quiet periods (e.g., IPO, Secondary, and Lock-Up expirations)

• Develop and present annual compliance and ad hoc training programs

• Review and investigate policy breaches from Control Room perspective

• Analyse and monitor the Bank’s activities on the leading exchanges globally across all asset classes

• Educated to degree level or equivalent; he/she is likely to have 6 to 8 years’ experience in the financial services industry in a related function. Relevant compliance qualifications are desirable

• Solid understanding of and experience managing a control room

• Strong sense of accountability

• Proactive in approach and an effective solutions provider

• Team player, understands the importance of collaboration

• Excellent communication skills, confident in corresponding with and managing stakeholders to achieve desired outcomes;

• Working knowledge of Investment Banking, Corporate Finance and Private Banking products and services would be highly desired

• Ability to work under pressure, cope with change and yet execute in a precise and timely fashion.

LI-CSJOB

Title: Head of Australia Control Room Officer # 108071

Location: Australia-NSW-Sydney

Requisition ID: 108071