Compliance Officer
The head of SPCPI is responsible for supporting the UK Head of Compliance in key initiatives, management of regulatory relations, delivering Compliance related projects and maintaining the operational structure of IB Compliance.
As a result of this expanding role we are looking to recruit an additional team member, with rank to Director, to a new role performing many of the team responsibilities. These will include:
1.1. Management of planning and risk assessment processes, including planning, tracking, escalation and reporting and coordinating with global processes such as those of Group Regulatory Relations and Strategic Initiatives ("GRRSI"), Risk Assessment and Review and IB Global Compliance Management Committee.
1.2. Co-ordinating and project managing cross-product regulatory change initiatives and strategic initiatives, as mandated by the Head of IB Compliance, EMEA.
1.3. Coordinating with the UK COO and GRRSI to respond to regulatory initiatives and inquires and other projects, as agreed with the UK Head of Compliance.
1.4. Deputising where required for the Head of SPCPI as Operational Risk Manager for UK Compliance.
The preferred candidate will have had experience in a Compliance or Legal team in banking or private practice. Prior responsibility for the coordination and management of major projects and initiatives will be preferred, but a candidate with a strong advisory background in either area will also be considered. The role will require the ability to understand and manage key risks and developments in regulatory reform and Compliance and approach such projects with organisation and initiative. The position will have significant senior management exposure and the candidate must have the proven ability to understand, analyse and present on a range of topics.
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.
Leave a Reply
You must be logged in to post a comment.