UBS Financial Services Compliance Officer Control Room Switzerland / CCS in Pfäffikon ZH, Switzerland
The role will be part of the Compliance & Operation Risk Control (C&ORC) team located in Opfikon. You will report to the Head of the Swiss Control Room. Together with the team you will provide a comprehensive advisory and support service to the Investment Bank's Corporate Client Solutions (CCS), Corporate Finance Switzerland (CFCH), Investment Bank's Financial Research Department, Wealth Management and Personal & Corporate as well as any other area within UBS in Switzerland dealing with sensitive information and capital markets transactions. This includes reviewing and guiding the business in ensuring compliance with global and local policies and procedures as well as relevant legal, regulatory and best market practice standards in connection with price sensitive information, investment banking and capital markets transactions. Besides this you will assist in the development and implementation of corresponding new global and regional policies as well as providing necessary training and teaching to the business.
The tasks and responsibilities include but are not limited to the following:
For IB and capital markets transactions, assistance in the development of new policies and procedures, implementation of new rules, regulations and internal policies and procedures as well as advise of the relevant businesses on interpretation and application of relevant rules and regulations, market events and best market practice as well as internal policies and procedures.
Assistance/review of Research products, restrictions and advice
Assessment and discussion of conflicts of interest and reputational issues surrounding CCS/CFCH transactions
Advise on Information Barriers, Client Confidentiality and Need to Know Principle
Maintenance of Grey and Restricted Lists (Watchlists)
Training on new rules, regulations and internal policies and procedures as well as regular update trainings
Collaboration in local and global projects
Collaboration with Legal and C&ORC colleagues cross-divisionally and across the regions
What we offer:
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).
Take the next step:
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.
UBS HR Recruiting Switzerland
Disclaimer / Policy Statements:
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.
You’ll be working in the Control Room Switzerland team in Opfikon. We are a team of three (including you), motivated and active employees, working on the pulse of the capital market.
Your experience and skills:
University qualification – ideally in economics or law
Ideally knowledge of the broad range of business areas that a global bank such as UBS operates in (M&A, advisory, corporate finance) and in particular investment banking, capital markets and research products and practices
Good IB product knowledge (equities, fixed income, subordinated debt, loans etc.)
Understanding of the legal and regulatory regimes in the Financial Services industry of Switzerland and preferably also of other major jurisdictions such as the UK and the US
Ability to communicate effectively with internal clients and on occasion external advisors up to a Senior Level
- Fluent in English. German is an advantage
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 160109BR
Business Divisions: Corporate Center
Title: Compliance Officer Control Room Switzerland / CCS
City: Pfäffikon ZH
Job Type: Full Time
Country / State: Switzerland
Function Category: Compliance