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Your role Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for an individual to join our Investment Banking (IB) Business-Aligned Compliance Team, based in Frankfurt. Organizationally located within the Group Risk Control Function, you:
are interested in further developing your multi-disciplinary skillset as the coverage responsibilities will include Monitoring & Surveillance, Employee Conduct and coordination of IB Training & Education
will engage in regular interactions with IB M&O Subject Matter Experts in global locations as well as with national and international colleagues in Business Solutions Centers
will report functionally to the Germany M&O Officer and divisionally to the IB Head of Compliance and support both with various duties
Your daily duties will include:
Providing the first contact point for escalations and exceptions identified in Monitoring & Surveillance activities over IB activities within the entity, and reviewing these
Coordination of employee violations within the entity
Coordination of content and schedule for IB Compliance annual training plan
Coordination of knowledge and competence requirements for staff in the UBS Europe entity
Escalation of issues to core stakeholders including Business-Aligned Compliance and IB Financial Crime Officer
Regular engagement with M&O Subject Matter Experts in UBS Hub Locations
Liaison with colleagues in European and offshore Business Solutions Centers, and – together with compliance colleagues – with local Works Councils
Your team You'll be working in the 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) and Corporate Client Solutions (Research, Global Asset & Liability Management, Non-Core and Legacy).
Your experience and skills You have:
a degree in Business Administration, Banking and Finance, Economics, Engineering or a similar subject
at least 3 years of experience in risk management, risk control, audit or compliance
knowledge and experience of IB products and services as well as of the compliance and operational risks inherent in the IB businesses and operating model
good understanding of the European regulatory framework, e.g. MAR, MiFID II, GDPR
experience in working with European Works Councils
experience in working in a BaFin-supervised entity (desirable)
analytic, with the ability to provide practical solutions for minimizing risk
result-oriented and collaborative (you put the team's interest first)
proactive and a problem solver
fluent in English; German desirable
comfortable in an international environment and you enjoy working with teams based in multiple locations
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?
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. Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
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. (Job Reference: 179492BR).
Internal Number: 4604877
About UBS Europe SE
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