Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for
a motivated colleague, interested to join our Investment Banking (IB) Business-Aligned Compliance team, based in Frankfurt. Organizationally located within the Group Risk Control Function, you will:
‐ engage the 1st Line of Defense (“1LOD”) in informal and formal communications to challenge, educate, and guide on compliance, conduct and operational risks, including supporting 1LOD in maintaining high standards of culture and behavior
‐ 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 Head of Compliance in preparation for governance forums and committees
‐ review and provide challenge associated with new, complex or higher risk businesses and bespoke transactions through various forums (e.g. New Business Initiatives, Complex Transactions)
‐ develop and conduct training that is narrowly-tailored to the business and supporting personnel focusing on the unique application of the rules for their activities
‐ provide material assistance with regulatory inquiries and examinations, internal audit reviews, and testing
‐ anticipate and examine potential and emerging risks and provide actionable insights by conducting deep dives into internal and external events, leveraging data analytics, and/or asking probing questions during normal course interactions
‐ contribute to the performance of specific local processes and controls e.g. VPAG annual audit, 2nd line oversight of market conformity testing, and BaFin HFT/DEA controls.