UBS Financial Services Compliance Monitoring & Oversight 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 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 co-ordination of IB Training & Education

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

– will report functionally to the Germany M&O officer & 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.

– Co-ordination of employee violations within the entity

– Co-ordination of content and schedule for IB Compliance annual training plan

– Co-ordination of Knowledge & 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

– Liaison (together with compliance colleagues) with local Works Councils

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 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), Corporate Client Solutions (Research, Global Asset & Liability Management, Non-Core and 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 IB products and services, and of the compliance and operational risks inherent in the IB businesses and operating model.

– Experience of European regulatory framework e.g. MAR, MiFID II, GDPR

– Experience working with European Works councils

– Experience working in a BaFin-supervised entity is desirable.

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 #: 179492BR

Business Divisions: Corporate Center

Title: Compliance Monitoring & Oversight Officer, Investment Banking (f/m)

City: Frankfurt am Main

Job Type: Full Time

Country / State: Germany

Function Category: Compliance