UBS Financial Services Compliance 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

3 employees, interested to join our Investment Banking (IB) Business-Aligned Compliance team, based in Frankfurt. Organizationally located within the Group Risk Control Function, you will:

‐ engage the 1st Line of Defense (“1LOD”) in informal and formal communications to challenge, educate, and guide on compliance, conduct and operational risks, including supporting 1LOD in maintaining high standards of culture and behavior

‐ 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 Head of Compliance in preparation for governance forums and committees

‐ review and provide challenge associated with new, complex or higher risk businesses and bespoke transactions through various forums (e.g. New Business Initiatives, Complex Transactions)

‐ develop and conduct training that is narrowly-tailored to the business and supporting personnel focusing on the unique application of the rules for their activities

‐ provide material assistance with regulatory inquiries and examinations, internal audit reviews, and testing

‐ anticipate and examine potential and emerging risks and provide actionable insights by conducting deep dives into internal and external events, leveraging data analytics, and/or asking probing questions during normal course interactions

‐ contribute to the performance of specific local processes and controls e.g. VPAG annual audit, 2nd line oversight of market conformity testing, and BaFin HFT/DEA controls.

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 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 and 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 #: 179486BR

Business Divisions: Corporate Center

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

City: Frankfurt am Main

Job Type: Full Time

Country / State: Germany

Function Category: Compliance