Compliance Officer recruitment

Responsibilities

• Employee compliance including Personal Investments, Outside Business Activities, and Gifts and Entertainment and other tasks as required
• Licensing for UBS and individuals performing services for UBS including overseeing the issuance of Designated Representative Certificates, and appointment of Authorised Representative
• Overseeing the framework that supports Responsible Managers, Responsible Executives and Responsible Officers for key regulatory authorities including ASIC, ASX and APRA
• Assisting to maintain the Compliance Framework for the Investment Bank including development and maintaining a compliance risk management program to identify key regulatory risks and controls; maintain the Compliance Manual
• To assist in coordinating external audits performed by external audit firms covering areas including annual AFSL audits
• To assist in the review and approval of offshoring and outsourcing initiatives
• To assist in the compliance coverage of logistics functions for the Investment Bank division
• Establishing and maintaining the monitoring program for the IB Cross Border Program
• Maintaining up-to-date details of Senior Advisors and Friends of the Firm, and ensuring relevant internal requirements are being met
• To undertake projects and initiatives as required

Requirements

The candidate should have 2-5 years experience in dealing with legal, compliance and regulatory matters in the Australian financial services, and ideally the Investment Banking industry. The candidate must also be confident and able to communicate effectively with both peers and senior management. As part of a strong and professional Compliance team, the role holder should be skilled at building consensus and working with others. The candidate will be expected to:

• Maintain excellent and trusted judgement and deliver effective decisions.
• Maintains a global perspective on all matters relating to compliance and contributes and interacts effectively with the regional and global team.
•Respond promptly to requests for advice and information from the business, operational and other members of the global team.
• Demonstrate in depth knowledge of all applicable laws, rules, regulations, and a detailed understanding of current and anticipated local regulations and UBS global compliance policies and procedures.
• Have the ability to assimilate and analyse information in an organised and methodical manner to enable critical components to be identified and actioned.
• Consider potential and existing situations where UBS is exposed to reputational and regulatory risks, and always takes appropriate action to ensure that such risks are promptly and properly resolved.
• Provide accurate, clear and concise reports and other written materials where required to the business lines and other members of the Legal Compliance team.
• Demonstrate the highest standards of personal and professional conduct.
• Identify, where appropriate, improvements in the control, training and policy areas of the business.
• Is able to communicate in an effective, coherent and confident manner with all level of staff and external bodies on complex matters relating to regulation and compliance.
• Is able to listen, understand and provide reasoned arguments when addressing regulatory and compliance matters with all levels of staff and external bodies.
• Demonstrates the highest standards of personal and professional conduct.

UBS can offer you an environment geared towards performance, attractive career opportunities, and an open corporate culture that values and rewards the contribution of every individual.