Compliance Officer (f/m/d) - Investment Banking
Standort: Frankfurt am Main, Deutschland
Job-Typ: Vollzeit, Teilzeit
Die Rolle
Are you intellectually curious? Do you know how to maintain independence and objectivity and like to constructively challenge complex issues? We are looking for a motivated colleague, interested to join our Investment Banking (IB) Business-Aligned Compliance team, based in Frankfurt who has and wants to further develop these attitudes while we provide the dynamic environment to apply them. Within the global network of the IB aligned Compliance function you will:
- 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 Compliance team in preparation for governance forums and committees
- advise business on risk and compliance related matters
- provide material assistance with regulatory watch interpretation, internal audit reviews, and testing
- perform controls on Market Abuse, MIFID related requirements
Unser Team
You’ll be working in a Compliance IB Business Aligned team in Frankfurt which is the hub location for the investment banking business in UBS ESE, also working closely with Compliance and business colleagues across EMEA region as well as our colleagues in Global Wealth Management Compliance, Financial Crime Prevention and Operational Risk Control. We are looking for someone who is interested to develop their skills and deepen their knowledge of IB business activities and the relevant regulatory framework and environment. We focus on covering the following businesses: Global Markets including Execution & Platforms, Derivatives & Solutions, and Financing. From a product perspective, this entails Equities, Foreign Exchange, Credit, Rates, Corporate Client Solutions, Research as well as Global Banking.
Das wünschen wir uns
- a degree in business administration, banking and finance, law, economics, engineering or similar subject
- several years of experience in compliance, risk management, risk control, or audit
- a good working 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 the German and European regulatory frameworks e.g. MAR, MiFID II
- Experience working ECB/BaFin supervised entities
- proactive and intellectually curious
- analytic, with the ability to provide practical solutions for mitigating and minimizing risk
- able to challenge while keeping a solution in sight
- able to say no where required and stand up to pressure
- able to work independently as well as in a team with a healthy grasp of when items require escalation
- result-oriented and collaborative
- fluent in German and English
- comfortable in an international environment and enjoy working with teams based in multiple locations
- curious to explore how AI can improve how workflows are built, delivered and optimized, with sound judgment, validation of outputs and alignment with policies, risk standards and ethical use
Über uns
UBS ist ein führender globaler Vermögensverwalter und die führende Universalbank in der Schweiz. Wir bieten auch diversifizierte Lösungen im Asset Management und fokussierte Fähigkeiten im Investment Banking. Mit Hauptsitz in Zürich, Schweiz, ist UBS in mehr als 50 Märkten weltweit präsent. Möchten Sie mehr erfahren? Besuchen Sie ubs.com/careers.
Wie wir einstellen
Es kann sein, dass wir Sie dazu auffordern, während des Bewerbungsprozesses ein oder mehrere Einstufungstests durchzuführen. Erfahren Sie mehr darüber.
Das sind wir
Bei UBS wissen wir, dass unsere Mitarbeitenden mit ihren unterschiedlichen Fähigkeiten, Erfahrungen und Hintergründen unseren Erfolg ausmachen. Wir setzen uns leidenschaftlich dafür ein, unsere Mitarbeitenden an die erste Stelle zu setzen, indem wir ihnen neue Herausforderungen, ein unterstützendes Team, Entwicklungsmöglichkeiten und, wenn möglich, flexible Arbeitsbedingungen bieten. Unsere integrative Kultur bringt das Beste aus unseren Mitarbeitenden heraus, egal wo sie sich auf ihrem Karriereweg befinden.
Kontaktangaben
UBS Business Solutions SA, UBS Recruiting
Vollzeit
Bankrecht / Kapitalmarktrecht
