Compliance Officer

Germany
- Compliance
- Group Functions

**Job Reference #**
- 263876BR

**City**
- Frankfurt am Main

**Job Type**
- Full Time

**Your role**
- Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for
- a motivated colleague, 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)- ‐ 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.

**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:
- several years of experience in risk management, risk control, audit or compliance
- deep 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?

**Join us**

**Contact Details**
- UBS Recruiting Germany

**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.