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Your role Do you know how to keep an eye out for and avoid risk? Do you know how to make the right call in challenging situations? We are looking for someone like that to: – maintenance of the firm's Grey and Restricted Lists and identification and management of potential conflicts of interest on transactions – ensuring regulatory and compliance requirements as they relate to the operations and activities of the Investment Bank – providing prompt advice and guidance to the business on relevant policies and procedures – prepare and help deliver quarterly training to bankers and analysts; – monitoring the effectiveness and general maintenance of the firm's Information Barriers – reviewing and approving draft Research reports for regulatory, reputational and potential conflicts of interest
Your team You'll be working in the Control Room team which sits within our boarder compliance team here in Sydney office. You will be responsible for supporting the CCS (Corporate Client Solutions) and Research business areas and managing the firm's information barriers. You will be responsible for the day to day operation of the compliance program with various responsibilities focusing on delivery of compliance services including as it relates to the Investment Banking Department (IBD) business.
What we offer Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Take the next step Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
About us Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?