Compliance Officer

24-Jul-2024

Job Reference #

301007BR

Business Divisions

Group Functions

Your role

Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for
a motivated colleague, interested to join our Investment Banking (IB) Business-Aligned Compliance team, based in Frankfurt. Organizationally located within the Group Risk Control Function, you will:

• engage the 1st Line of Defense ("1LOD") in informal and formal communications to challenge, educate, and guide on compliance, conduct and operational risks, including supporting 1LOD in maintaining high standards of culture and behavior
• review and challenge front-end systems and controls to prevent the business from violating regulations or disregarding firm policies and procedures
• provide entity and location-specific input to global IB business-aligned Compliance policies and procedures in relation to securities laws, rules, regulations, principles for business, and other regulatory guidance.
• support the UBS Europe SE IB Head of Compliance in preparation for governance forums and committees
• review and provide challenge associated with new, complex or higher risk businesses and bespoke transactions through various forums (e.g. New Business Initiatives, Complex Transactions)
• develop and conduct training that is narrowly-tailored to the business and supporting personnel focusing on the unique application of the rules for their activities
• provide material assistance with regulatory inquiries and examinations, internal audit reviews, and testing
• anticipate and examine potential and emerging risks and provide actionable insights by conducting deep dives into internal and external events, leveraging data analytics, and/or asking probing questions during normal course interactions

Title

Compliance Officer - Investment Banking (f/m/d)

City

Frankfurt am Main

Job Type

Full Time

Country / State

Germany

Function Category

Compliance

Join us

We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

Disclaimer / Policy Statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

Your team

You'll be working in a new Compliance IB Center of Excellence team in Frankfurt. Due to relocation of certain IB businesses to Frankfurt, we are looking for new and motivated individuals. We focus on covering the following businesses: Equities (Foreign Exchange, Rates & Credit), Corporate Client Solutions (Research, Global Asset & Liability Management, Non-Core and Legacy).

Your expertise

• a degree in business administration, banking and finance, economics, engineering or similar subject
• few years of experience in risk management, risk control, audit or compliance
• deep knowledge and experience of IB products and services and of the compliance and operational risks inherent in the IB businesses and operating model.
• Experience of European regulatory framework e.g. MAR, MiFID II, GDPR
• Experience working with European Works councils and BaFin-supervised entity
• analytic, with the ability to provide practical solutions for minimizing risk
• proactive, result-oriented and collaborative
• fluent in English, German desirable