Your role
Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone for the following:
• act as a compliance subject-matter expert for the Equities, Equity Derivatives, and/or Futures business within the Investment Bank (IB)
• understand the business, key risks, regulations, and technology impacting the business
• establish, maintain, and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards
• actively participate in governance forums, committees, or new business initiatives
• engage the business daily to challenge, educate and guide on compliance, conduct and operational risks, including supporting the business in maintaining high standards of culture and behavior
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• work closely with colleagues in Legal and Group Compliance, Regulatory & Governance (GCRG) on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
• ensure compliance risk frameworks are designed well and operating effectively
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
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
Our team sits within the Governance Compliance Regulatory Group (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world.
The Investment Bank Divisional Compliance and Operational Risk (C&ORC) team helps accomplishes this by providing independent oversight, challenge and control over the non-financial risks arising from UBS's business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite.
As part of the second line of defense, Global Markets Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations. This team aids in designing and implementing controls, policies, and procedures, implementing compliance training, working closely with independent testing teams, liaising with surveillance, conducting risk assessments, partnering with other parts of the Division on surveillance, investigations and regulatory examinations and inquiries.
Your expertise
• a BS/BA degree
• ideally 3+ years' experience in compliance, legal, risk control or audit with experience in Equity, Trading, and Sales Trading.
• the ability to make decisions, resolve conflicts and exercise sound judgment under pressure
• strong interpersonal and leadership skills, with the ability to successfully contribute to implementing and delivering change
• analytical with the ability to provide practical solutions for minimizing risk
• able to critically verify and challenge processes and documentation with an independent mindset
• result-oriented and assertive (you don't shy away from challenging situations)
• able to work in a faced-pace and high-pressure environment
• able to operate at both a detailed and strategic level, with strong attention to detail and organization skills, as well as excellent presentation and communication skills
About us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.