Aufgaben

Are you intellectually curious? Do you know how to maintain independence and objectivity and like to constructively challenge complex issues? We are looking for

a motivated colleague, interested to join our Investment Banking (IB) Business-Aligned Compliance team, based in Frankfurt who has and wants to further develop these attitudes while we provide the dynamic environment to apply them. Within the global network of the IB aligned Compliance function you will:

• review and challenge front-end systems and controls to prevent the business from violating regulations or disregarding firm policies and procedures

• provide entity and location-specific input to global IB business-aligned Compliance policies and procedures in relation to securities laws, rules, regulations, principles for business, and other regulatory guidance.

• support the UBS Europe SE IB Compliance team in preparation for governance forums and committees

• Advise business on risk and compliance related matters

• provide material assistance with regulatory watch interpretation, internal audit reviews, and testing

• perform controls on Market Abuse, MIFID related requirements

Team

You’ll be working in a Compliance IB Business Aligned team in Frankfurt which is the hub location for the investment banking business in UBS ESE, also working closely with Compliance and business colleagues across EMEA region as well as our colleagues in Global Wealth Management Compliance, Financial Crime Prevention and Operational Risk Control. We are looking for someone who is interested to develop their skills and deepen their knowledge of IB business activities and the relevant regulatory framework and environment. We focus on covering the following businesses: Global Markets including Execution & Platforms, Derivatives & Solutions, and Financing. From a product perspective, this entails Equities, Foreign Exchange, Credit, Rates, Corporate Client Solutions, Research as well as Global Banking.

Fähigkeiten und Erfahrung

• a degree in business administration, banking and finance, law, economics, engineering or similar subject

• several years of experience in compliance, risk management, risk control, or audit

• a good working knowledge and experience of IB products and services and of the compliance and operational risks inherent in the IB businesses and operating model.

• Experience of the German and European regulatory frameworks e.g. MAR, MiFID II,

• Experience working ECB/BaFin supervised entities

You are

• proactive and intellectually curious

• analytic, with the ability to provide practical solutions for mitigating and minimizing risk

• able to challenge while keeping a solution in sight

• able to say no where required and stand up to pressure

• able to work independently as well as in a team with a healthy grasp of when items require escalation

• result-oriented and collaborative (you put the team’s interest first)

• proactive and a problem solver

• fluent in German and English

• feel comfortable in an international environment and enjoy working with teams based in multiple locations

• • you’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use