Investment Banking Compliance Officer

4 weeks ago

London, United Kingdom UBS Full time

United Kingdom
- Compliance
- Group Functions

**Job Reference #**
- 269513BR

**City**
- London

**Job Type**
- Full Time

**Your role**
- Are you interested in developing and driving solutions that advance UBS’s strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking?
- We are looking for an Investment Banking Compliance Officer to help us:
- provide compliance coverage and oversight for our Investment Banking business which includes Advisory, Capital Markets, Financing Solutions, Real Estate Finance, and Public Finance
- evaluate relevant regional and global regulatory requirements mapping to corresponding risks
- liaise with management in Global Banking as well as functional leaders in Compliance, Legal, Risk and IT to provide effective challenge, guidance and advice
- actively participate in various global, regional, and cross-product committees as our Compliance representative
- draft and publish policies and procedures that pertain to our Global Banking business
- participate and provide support in regulatory exams and inquiries
- complete Compliance Risk Assessments and develop and deliver compliance trainings
- perform thematic reviews to assess emerging risk themes

**Your team**
- You will be a part of our second line of defense, Investment Banking Compliance function and be based in the UK. We identify and assess compliance, regulatory and reputational risk by providing independent oversight and challenge, as well as establishing independent frameworks for risk assessment, measurement, aggregation and protecting against non-compliance with applicable laws and regulations.
- Our Investment Banking-aligned Compliance and Operational Risk Control team (IB C&ORC) helps provide independent oversight, challenge and control over the non-financial risks arising from our business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to our risk appetite.

**Your expertise**
- ideally 3+ years’ front office-facing Compliance, Legal, Risk Control or Audit experience
- ability to independently drive sustainable change, influence regulation and collaborate to provide a more holistic risk control environment
- able to join the dots across divisions and business areas
- ability to handle multiple tasks simultaneously and work under tight deadlines
- strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
- strong oral and written communication skills required

**About us**
- UBS is the world’s largest and 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.
- With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**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.

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