Head Compliance
98743BR
The Head Compliance will be responsible for providing comprehensive advisory and control services to UBS' Business in the French speaking region of Switzerland. The Head Compliance is responsible for leading a team of currently seven compliance professionals. Leadership of the team includes promoting the team across the Business Groups in the region, developing and coaching where appropriate and motivating team members to deliver outstanding levels of service that reflect best practice in the industry. Moreover, leadership includes the maintenance of an appropriate/best in class compliance culture.
The role holder works closely with the Business in the locations of French speaking Switzerland to prevent, mitigate and/or control compliance risks by developing agreements, solutions, policies and procedures, and by ensuring that these are adhered to. This includes compliance analysis of all aspects of banking activities, developing contractual agreements and solutions, reviewing and creating new or revising existing policies and other documentation, as well as producing procedures for the practical application of their advice/policies. The role holder ensures the delivery of high quality compliance services to relevant business partners through the provision of expert advice within their areas of responsibility and through the coordination of others.
The role holder reports on trends and developments within the compliance region and ensures that the compliance services offered are adjusted to accommodate these changes. In order to fulfil this task the role holder works closely together with other units of UBS. The role holder is in charge of projects in the area of compliance.
Responsibilities:
-Maintain up-to-date knowledge of legal/regulatory/corporate environment and awareness of industry and company best practice in the team
-Provide regulatory/legal/compliance advice and review documents, policies, procedures and agreements.
-Define/review of the company's professional standards to promote full adherence to the provisions of UBS Compliance policies and other relevant regulatory and legislative measures.
-Disseminate and communicate compliance rules, procedures and controls and develop and deliver compliance training programs in the region
-Represent the compliance function in the review of new business initiatives, including new product development, to enable the firm to adhere to all regulatory requirements and best business practices.
-Liaise with business heads and in-house legal specialists in connection with the relevant regulatory aspects of individual transactions, client services and proposed services; early involvement in sensitive transactions to help avoid conflicts of interest.
-Maintain and enhance risk-based compliance monitoring programmes, including periodic and regular reviews of business activities.
-University degree in Law, Finance or Economics (e.g. LL.M., MBA, CFA) or equivalent
-10 - 15 years of professional experience in internationally operating Banking/Financial Services firm within Risk function (legal, compliance, operational risk)
-At least 5 years of work experience as Compliance Head or Deputy Compliance Head
-Very solid knowledge of Financial regulation and legislation with regard to Retail Banking and Wealth Management business.
-Ability to efficiently cooperate with and manage internal and external stakeholders - experience in being effective within matrix structures.
-Excellent analytical and project management skills.
-Ability to be forward looking in issue avoidance.
-Strong sense for processes and procedures along with good understanding of business drivers and client orientation.
-Excellent communication, interpersonal and organisation skills.
-A very good command of French, English and preferably German. French is essential.
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.
Did you find what you are looking for? We look forward to hearing from you.
Corporate Center
Legal and Compliance
UBS
HR Recruiting Switzerland
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