Equities and CCS Compliance & ORC Officer
Do you want to be part of a global business-aligned Compliance & Operational Risk Control team (C&ORC) for the Equities Business on the Trading Floor, Corporate Client Solutions (CCS) and Research? Do you know how to maintain independence and objectivity? Are you efficient and effective in the way you work? For our team we are looking for an experienced Compliance and Operational Risk Officer who can:
- providing Compliance advice and approvals to the business as required in the area Equities, Structured Products, ETD Options and Futures & OTC Derivatives, particularly regarding new product initiatives, product risk aspects and product suitability.
- assessment and discussion of conflicts of interest and reputational issues.
- advise on Information Barriers, Client Confidentiality and Need to Know Principle.
- maintenance of Grey and Restricted Lists.
- perform analytical and thematic reviews to identify areas of increasing Compliance and Operational Risk so that C&ORC can take pre-emptive action.
- assistance in the development of new policies and procedures as well as implementation of new rules, regulations and internal policies and procedures.
- coordination of Regulatory- and Exchange inquiries.
The role will be part of the Investment Banks' C&ORC team located in Opfikon. You will report to the Head of C&ORC for Corporate Client Solutions and Equities Business of UBS in Switzerland.
Together with your team colleagues you will provide a comprehensive advisory and support service to the Investment Bank's Corporate Client Solutions, Investment Bank's Financial Research Department as well for the Equities Business in Switzerland.
The key mandate is to provide independent challenge to the business. This includes reviewing and advising the business in ensuring compliance with global and local policies and procedures as well as relevant legal, regulatory and best market practice standards. Besides the advisory function you will assist in the development and implementation of new global and regional policies as well as providing necessary training and teaching to the business.
Your experience and skills:
- at least 2-3 years banking experience in a legal, compliance, risk, audit or other relevant business function (e.g. trading, operations, credit risk).
- degree in law, economics or finance.
- postgraduate diploma in Compliance and Risk Management preferred.
- good understanding of the banking industry.
- interest in derivatives regulations.
- proficient in Compliance and Operational Risk matters, and you have strong knowledge of financial products, including derivatives and structured products.
- co-operative and team-orientated, while being able to motivate and organize yourself and complete tasks independently to high quality standards and in time.
- ability to understand context and interdependence across different areas, functions & responsibilities.
- very good interpersonal and communication skills, ability to work independently and to exercise sound judgment under pressure, enthusiasm and attention to detail, self-confidence to handle demanding front office staff.
- fluent in English and German.
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.