UBS Financial Services Compliance Financial Crime Officer, Investment Banking (f/m) in Frankfurt am Main, Germany

Your role:

Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for an individual to join our 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 Anti-Money Laundering, Anti-Bribery & Corruption and Sanctions across IB products and services in the UBS Europe SE Head Office and branch locations

– will involve regular interaction with IB Financial Crime subject matter experts in global locations, as well as with colleagues in Business Solutions centers located in Europe and offshore

– will review providing jurisdiction and entity specific input to global policies and procedures, as well as exceptions and escalations generated by the Monitoring & Surveillance team

– will oversight of IB Client Identification Program, periodic \"Know Your Client\" reviews and onboarding within the ESE entity

– will support the entity MLRO in preparation of periodic reporting, including the annual financial crime risk assessment and annual report

– will prepare and submit Suspicious Activity Reports relating to IB regulators to European regulators, in liaison with local Compliance officers in branch and subsidiary locations

– will escalate issues to the German MLRO, the entity MLRO and the IB Head of Compliance.

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.

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 C&ORC 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, Legacy).

Your expertise:

You have:

– a degree in business administration, banking and finance, economics, engineering or similar subject

– 3-5 years of experience in risk management, risk control, audit or compliance

– Knowledge and experience of Investment Bank products and services, and of the financial crime risks inherent in the Investment Bank businesses and operating model

– Experience of European regulatory framework and supervisory approach e.g. 4th Money Laundering Directive

– Experience working in a BaFin supervised entity

You are:

– 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

– feel comfortable in an international environment and 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 more than 50 countries. Do you want to be one of us?

Your colleagues:

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.

Job Reference #: 179553BR

Business Divisions: Corporate Center

Title: Compliance Financial Crime Officer, Investment Banking (f/m)

City: Frankfurt am Main

Job Type: Full Time

Country / State: Germany

Function Category: Compliance