An exciting and challenging role as Team Lead in Financial Crime Compliance - Surveillance, Americas Region within Chief Compliance and Regulatory Affairs (CCRO).
You represent the team at functional and divisional management meetings, you work as a partner with senior management to ensure compliance with regulatory requirements and Bank's Policies, Procedures and Standards in a controlled and compliance oriented manner.
Functional Responsibilities include:
Responsible for implementing the USA PATRIOT Act Section 314(a) program which includes:
Register as the designated point of contact for Section 314(a) requests from the Financial Crimes Enforcement Network (FinCEN).
Ensure the confidentiality of requested information.
Establish processes for responding to Section 314(a) requests.
Perform screening of Section 314(a) subjects for accounts maintained during the preceding 12 months.
Perform screening of Section 314(a) subjects for transactions in the preceding 6 months.
Report name matches through the FinCEN portal.
Maintaining and updating procedures as needed to ensure compliance with Section 314(a) requirements.
Maintain registration with FinCEN.
Provide training where appropriate to persons involved in the Section 314(a) process.
Escalate Section 314(a) matches to FCC Investigations for potential SAR filings.
Maintain records of Section 314(a) search results.
Managerial responsibilities include:
Providing day-to-day functional and people management for the Section 314(a) process and projects in Raleigh.
Ensure BAU operations are executed within stipulated SLA, TAT and QA parameters.
Perform supervisory controls and performance reviews for team members and provide SME trainings.
Execution of efficiency and effectiveness measures.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.
You Offer This role requires excellent analytical skills and organizational skills with good verbal and written communication and people management skills. You should possess the following qualifications and skills:
You have a minimum of 8-10 years of Compliance experience in a comparable role in the banking industry or related work experience with a regulatory body.
You have Prior Section 314(a) screening experience in a similar position at a financial services firm.
Training experience and/or Compliance or other risk and control function experience is highly desirable.
You are detail oriented, with excellent follow-up capabilities, sound Project Management knowledge.
You have very good interpersonal and organizational skills and flexibility to adapt to short term changes.
You have proactive approach, willing to suggest and develop new ideas.
You have deep knowledge of the USA PATRIOT Act and BSA requirements.
Investment Banking and Private banking experience desirable.
You have experience in overseeing and handling a highly effective compliance function in a financial services industry.
You have strong writing, analytical, research and communication skills and be able to multi-task and complete projects on time.
You have excellent partner management, communication and organizational skills a must, ability to multi-task competing priorities whilst maintaining a high degree of accuracy and attention to detail.
You have the ability to collaborate effectively with partners in the bank, including other risk and control functions, front office and other members of the Compliance team regionally and globally.
You have very good Office skills including PowerPoint, Excel, Word and Outlook.
Internal Number: 6129987
About Credit Suisse -
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