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Regulatory Specialist (#135482)

at Credit Suisse

Posted: 8/13/2019
Job Status: Full Time
Job Reference #: 137884
Categories: Other/General

Job Description

Credit Suisse Asset Management LLC Division Regulatory Reporting Group has the responsibility for the Division's regulatory reporting requirements, primarily in the US, including Forms PF, PQR, ADV, TIC, and FATCA/CRS and regulatory requirements in the European Union, i.e. AIFMD and MiFID II. Group mainly covers the Dodd-Frank requirements and hedge fund and commodity pool regulations.


  • Individual will be responsible for obtaining/reviewing data produced around the rules, policies, and procedures that are a result of the current and ever-expanding regulatory legislations.
  • Data gathering and analysis of Hedge Fund, CLO, Private Equity and Commodity Pool securities inventory for inclusion in Regulatory reports.
  • Work thoroughly with 3rd Party Vendor on the automation of reporting requirements.
  • Maintain and update liquids and illiquid's legal entity database.
  • Support COO, Operations, Fund Accounting and LCD in preparing regulatory reports.
  • Monitor new Fund launches and new rules to determine Regulatory Requirements.
  • Respond to written regulatory inquiries from the SEC (Securities Exchange Commission), NFA (National Futures Association), etc.
  • Ability to interact with all levels of internal and external management in a consultative matter.


Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.


  • Bachelor's Degree, finance background.
  • 2-5 years of experience preferred
  • Hedge Fund accounting and/or regulatory experience; knowledge of Dodd-Frank.
  • Data Management skills.
  • Knowledge on a variety of financial instruments (e.g., Listed and OTC Derivatives, loans and related lending products, fixed income, and cash products.
  • Must haves strong Excel and Word skills.
  • Must have strong written, verbal communications skills.