Compliance Officer
UBS operates one of the leading global equity businesses with its European operations focused in London. The business encompasses domestic and international equity and equity-related sales, trading and research and exchange traded and OTC derivatives.
The Role
A position has arisen for an experienced Compliance Officer to work within the EMEA Equities Compliance team. The role, which will be based in a trading environment, involves the provision of advisory, education and monitoring services to European Equities, which spans cash sales and trading, exchange traded derivatives, prime brokerage, equity derivatives and structured products. This role will also involve support to the team’s coverage of some or all of these businesses as well as to other aspects of the team’s work. In addition, the successful candidate will be required to lead new business proposals and project work and to provide training and education to the businesses supported.
Requirements
The ideal candidate will have significant compliance experience, preferably of one or more of structured funds, institutional fund management and/or other structured products.
Candidates will demonstrate:
A good understanding of equity markets and related compliance issues.
Must have the ability to provide practical and immediate interpretation of regulations. Experience of the regulatory regime across major European equity markets. Knowledge of the key regulatory developments which are relevant to investment banking compliance and to the equities business in particular would be an advantage.
Must be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, be able to deliver solutions and understand the requisite balance between self-sufficiency and escalating issues. Flexibility and willingness to undertake a variety of roles are also essential, including within other business areas supported by Equities Compliance.
Excellent communication skills (written, oral and listening) and an ability to make and present persuasive arguments to support the views/opinions given to European Equities management and front office/support staff.
Pragmatism and the ability, when under pressure, to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions.
An ability to build and sustain strong relationship with Equities personnel and colleagues in Legal Compliance.
Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour.
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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