Compliance Officer -FICC Compliance Team recruitment
The role is in the EMEA FICC Compliance Team providing primary Compliance support to the following business areas:
Structured Credit Trading
Structured LIBOR Trading
Structured EM Trading
Complex Structured Products
FICC Structuring
Private Side Structuring
Additional Compliance support would be required for the other business areas:
Macro Trading Sales
IB Treasury Trading
ETD Fixed Income
Group Treasury
Compliance Support will require the following:
- Advice on transactions, new business initiatives and other Compliance issues to the above business areas as required ensuring that business and product development activities are compliant with applicable laws, regulations and internal standards.
- Establishment and performance of appropriate monitoring and control processes that fulfil the Compliance function’s duty to exercise appropriate oversight of the activities carried on by the above businesses, with a focus on “check the checker” reviews and desk based monitoring.
- Analysing changes and proposed changes in relevant laws and regulation and ensuring that the requirements are appropriately implemented. This may involve taking a role within industry and regulators working groups with a view to lobbying for appropriate outcomes.
- Developing and providing training to the above business areas on new policies, procedures and regulatory developments as required.
- Issuing relevant and timely guidance to the business in relation to Compliance policies and procedures.
In addition the team is broadly responsible for the coordination of Compliance training for FICC including new joiner inductions, ongoing Compliance updates and specific Compliance training as required.
As a small team covering the above businesses, the jobholder will gain broad experience of compliance and control issues and will be required to work closely with the relevant businesses to achieve the compliance objectives. In fulfilling these duties, he/she will also work closely with Compliance Officers and lawyers in other teams, particularly Traded Products Legal, Corporate Legal and Local Offices Compliance.
You will have -
The ability to analyse and understand business aims and relevant Compliance issues to allow development of practical commercial solutions is an essential skill. Negotiation skills when dealing with both internal and external stakeholders are also essential. Strong presentational skills are also required and the ability to develop and deliver.
Degree Level or equivalent
Appropriate business and regulatory training
An appropriate legal, business or accountancy qualification would be advantageous
A compliance, legal, audit or business background is desirable.
Any candidate should have a strong track record of analysing and resolving control issues in the FICC business or other client facing business.
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.