Head of Compliance Assurance Luxembourg (F / M)
Luxembourg Full-time Job ID 140969
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations.
Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice.
Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-
ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.
As an experienced Compliance Officer, your role will be to support the International Wealth Management Compliance team in conducting Tax Compliance, Suitability & Appropriateness, Anti-
Fraud and AML testing and performing any other review activities for Credit Suisse (Luxembourg) S.A. and its branches.
You will be leading the Compliance Assurance Team that is in charge of compliance monitoring and testing for Credit Suisse Luxembourg.
The team currently has a size of four including the Head.
The Compliance Reviews department has the responsibility to perform risk based compliance reviews using a focused, independent, and consistent global approach, with aim to actively identify and escalate compliance risks, determine mitigating action plans and monitor timely and appropriate implementation.
A challenging function as Head of the Compliance Review Team located in Luxembourg
Responsibility for checking compliance with regulatory requirements, internal policies and standards, i.e. the identification, assessment and documentation of compliance risks
Actively evaluate the efficiency of procedures and guidelines which seek to mitigate such risks
Responsibility for the formulation of recommendations, and monitoring implementation of the corresponding action plans
Development and execution of the IWM annual testing and monitoring plan
Reporting accordingly to the Chief Compliance Officer and to Functional Line Management within CS Group
Involvement in the ongoing development of the review programs
Liaising with other local and Group Compliance functions
Conducting trainings to staff / compliance teams on relevant compliance-related laws, regulations, best practices and internal local and global policies
Act as a source of subject matter expertise and provide guidance related matters to the business and internal partners from Compliance and General Counsel
A university degree in Law or Economics or comparable degree
Minimum of 7 years’ experience in the banking sector within a Compliance, Audit or similar function
Experience on testing methodologies
Experience on leading small teams
Very good knowledge on MIFID II and other compliance related topics as well as on tax, fraud and AML related topics
You have a high standard of written and spoken English; good knowledge of German and French; any other languages would be an advantage
Familiarity with standard MS Office products, as well as a flair for figures
An independent approach to your work, combined with the ability to identify the relevant compliance considerations in any given situation
An open, collaborative personality; excellent time management skills
Ability to work under pressure
High level of attention to details
Ability to communicate clearly and accurately with clients and peers
Excellent professional and client service attitude
Excellent problem-solver, being able to use good judgement
You show can-do attitude and flexibility and you are open to changes with focus on improvement
You are keen to work in an inclusive environment and excel at collaborating in a global team
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.