Sen. SOX 404 Compliance Officer, AVP #198495

Job Description 

Your field of responsibility

The position is an important role within our group ViR controls compliance program. The role will be focused on functioning as a key team member to assist with the management of the Group ViR controls compliance across all aspects of the ViR lifecycle as well as managing relationships with partners within the Group ViR program and across the organization.

Main Duties/Responsibilities of the Role

The open position, based in Pune, is a key role within the group ViR controls compliance program. You will function as a ‘Group Deputy Key Account Manager’ (corporate title = Assistant Vice President) focused on the Group-wide ViR controls compliance program. This will include responsibility for working with the central control team to assist with the management of the global book of work across all phases of the control program lifecycle and directly working within a team of resources based in Singapore and Pune.

Group Deputy Manager

• Function as a deputy representative and manager for the Valuation-in-Resolution (ViR) controls central team
• Assist in the timely delivery of processes to support the controls compliance program, resolving problems as they occur throughout the controls' lifecycle with escalation, as required
• Help with the coordination, communication and management of the controls program including management of the design and operating effectiveness deadlines as well as other control program requirements
• Manage the calculation and application of the quantitative scoping materiality thresholds
• Monitor, manage and resolve policy, standard and/or framework exceptions. This requires close coordination with process and control owners
• Assist with the management of the global book of work across all phases of the ViR cycle. This includes assistance with tracking, monitoring and reporting Group issues and status and requires close coordination with control owners and local supporters
• Develop and manage key relationships across functions and seniority levels
• Perform issue assessments on matters arising from different channels (e.g. reported operational incidents, internal audit reports, etc.)
• Assess and document the severity of identified control deficiencies
• Support the line as it relates to the application of the control framework
• Prepare and collate slides presented in the various management and committee meetings, with timely delivery to control program leadership
• Resolve quality assurance matters noted within quality assurance metrics and reports
• Perform other control framework relevant projects and ad-hoc requirements, which may include alignment with and projects associated with the SOX 404 control framework
• Liaise closely with counterparts who work in a regional or Group capacity within the program

Your future colleagues

As a Global Systemically Important Bank (G-SIB), the Credit Suisse Group AG (CSG) and Credit Suisse (CS) must develop and implement capabilities that support the production of complete, accurate and timely reporting in compliance with Valuation in Resolution (ViR) Requirements. ViR requirements mandate reporting of point in time assessments of both firm and entity level balance sheets, capital and liquidity positions in addition to projections over a forecast period. ViR Requirements also request an outline of restructuring options that could be used in a stress scenario.

The position has the mandate to establish and manage the control framework relating to ViR reporting requirements. More specifically, you will be working with the ViR controls central team, led by a Vice President based in Singapore. This team has the mandate to centrally manage and monitor the Group’s compliance with ViR control requirements. This includes central monitoring of controls, testing, framework adherence and governance reporting. Note that the Head of the ViR controls central team is also the Head of the Group SOX 404 central team.

The ViR controls central team is part of the Group ViR controls compliance program, led by a Director based in Zurich, which has the mandate to manage compliance with ViR control requirements for Credit Suisse Group. Note that the Zurich based Director is also responsible for Group SOX 404 program management and the Head of the SOX 404 business process control framework.

The ViR controls compliance program is part of Group Finance (GF) Operational Risk & Control (ORC), led by a Managing Director based in Zurich. GF ORC has overall responsibilities for maintaining and supervising a number of the firm's most critical control programs, including: the SOX 404 Control Framework; the Regulatory Reporting Framework; General Ledger Account Ownership (GLAO); the Environmental Social Governance (ESG) Reporting Control Framework; the Valuation-in-Resolution (ViR) Control Framework; and the Group Finance Control Framework.

We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural value.

Remote Working? N/A - pending TWWW agreement 
Your skills and experience

Required Work Experience/Background:

• Degree in accounting and/or finance
• You are a CPA or Chartered Accountant and understand US GAAP and IFRS
• 6 – 8 years of SOX 404 relevant experience – achieved either at the Big 4 (on multinational integrated audit engagements, which are PCAOB compliant) or at a multinational bank (within SOX 404 compliance, Group Finance, Internal Audit, etc.)
• Understand SOX 404 control requirements – both theoretical and practical
• Experience in financial services and understand how a multinational bank operates
• Understand the US GAAP accounting standards, processes and typical key controls relating to operations, finance and product control
• Experience working on a global-team and interacting with colleagues both locally and overseas
• Relationship focused and able to build and manage relationships across the organization
• Articulate and effectively communicate with partners at a different seniority levels
• Organized, analytical and have the ability to meet strict reporting deadlines
• Result oriented, dedicated, hardworking who can work on own initiative and can deliver on time under pressure with a high level of integrity and flexibility, sense of urgency, attention to detail and quality standards
• Dedication to fostering an inclusive culture and value diverse perspectives

Your new employer

Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.

We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. We are committed to building a culture of inclusion with a deep sense of belonging for all of us. We will consider flexible working opportunities where possible. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.

For further information, and to apply, please visit our website via the “Apply” button below.