Lead Compliance Officer – IBD Compliance Advisory recruitment
You will lead the IBD Compliance team, which is one of several advisory and specialist teams in London Compliance and works closely with similar teams in US and APAC.
The primary focus of this role is to provide Compliance advice to the IBD business in EMEA, including providing training to the relevant business areas in London and providing support and advice on IBD Compliance issues to the European Compliance officers.
Attendance at IBD commitment committees will be required and the individual will be expected to take the lead on solving conflict or reputation matters, raise the issues proactively at committee or escalate and resolve as efficiently as possible.
Develop excellent relationships with the Head of the BRG, EBRG and EMEA COO.
You will be required to take an active role in the Global IBD Business Compliance team and lead global projects as necessary.
Advice on relevant legal and regulatory issues will include FSA and Takeover Panel requirements, liaising with legal colleagues as appropriate. Consideration and implementation of relevant legal, regulatory requirements (including EU directives) and bank policies, often working closely with the IBD Business Management Team.
You will also be required to gain an understanding of the core responsibilities of Research and Control Room Compliance, including: Information Barriers, the use and impact of the Grey and Restricted Lists, setting sales, trading and research restrictions; Research clearance and independence issues.
The successful candidate will:
Build and maintain excellent working relationships with the IBD COO office and the CCU and become a trusted contact for the COO/CCU team on all day to day IBD Compliance related issues.
Have frequent contact with front office colleagues in IBD, both in the UK and in other jurisdictions, giving advice and training to the IBD Business area.
Be expected to have a good understanding of the key issues facing the IBD Business and be able to communicate with internal clients and external advisers up to a senior management level. It is therefore imperative that the person in this role is able to build trust and respect with their clients to encourage cooperation from the Business.
Build and maintain effective working relationships within the LC function, including frequent contact with Transactions Legal, Compliance teams in Equities and FICC, RIG, Central Compliance, AML Compliance and the C-EM-EMEA Compliance officers.
Volunteer for and undertake Compliance training for the Business whenever appropriate either by running organised training sessions or updating IBD on a more ad hoc basis through attendance at regular IBD meetings.
Attend BRG / EBRG and ensure conflict or reputation matters are identified and raised proactively and escalated and resolved as efficiently as possible, ensuring Compliance play a leading role wherever appropriate.
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.