EMEA Regional Lead – Compliance Supervisory Review Programme recruitment

This is a new role reporting to the Head Strategic Projects Cross Product with a secondary line to the Global Lead - Compliance Supervisory Review Programme.

The role is to lead the EMEA Check the Checker programme for Compliance within the IB in conjunction with global lead also to be appointed.
As part of the Unauthorised Trading Incident (UTI) remediation the Compliance “Check the Checker” (CTC) programme is being expanded significantly.

This individual will be responsible for regional leadership and delivery of this programme.
CTC involves (i) a risk based rolling review process covering all front office supervisors in the Securities business of the IB (ii) periodic, substantive testing of alerts generated by Compliance-related supervisory controls.
Compliance will lead a team of control function representatives who will examine the operation of the front office supervisory controls and assess the effectiveness of those controls and of the individual supervisors.

Working with the global CTC lead the individual will take forward the Compliance CTC programme including developing the work plan, working with colleagues in the front office, Compliance and other control functions to schedule and undertake reviews, report back findings and develop meaningful reporting and improve the supervisory framework of the IB.

This is a key deliverable for Compliance and for the UTI remediation and will require an individual who can work independently, create new processes, operate a risk based approach and work with a wide variety of different business functions.
Co-ordinating the performance of, and delivery of results from, the substantive testing of Compliance-related alerts also performed by Compliance in the EMEA region as part of the CTC
This role is best suited to a self starter with drive and commitment and who approaches new scenarios with enthusiasm. This offers the opportunity to help to create a new aspect of the Compliance function and to work closely with the front office, Compliance and other control function colleagues.

There will be no direct management responsibilities attached to this role but the candidate will be expected to work as part of a global team. In addition members of the wider IB Compliance team will be involved in the new programme and this individual will need to engage a wider team to ensure the success of the new programme.

You...

Must be capable of interacting at a senior level in the bank and capable of developing initiatives and operating independently. Good written and oral communication skills and general “people skills” to gain engagement are essential.
Good project management skills are essential and it is likely that candidates will be at AD/D level
Compliance experience is preferable but not essential however an understanding of control processes and review work would be extremely advantageous. A practical and flexible approach will be needed.

The candidate will need the ability to drive the reviews to conclusion and engage the support of a wide-ranging team across functions in order to schedule, undertake and report back on the reviews. Effective interaction will be required with the other regional leads and the global lead to take the programme forward on a consistent global basis.

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.