Your role In this role, the candidate will assume the following key responsibilities:
– The compliance officer will be responsible for liaising with senior management in the equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance and advice. – The individual will be expected to participate in Compliance & Operational Risk coverage for the Global Equity Derivatives business within the Compliance & Operational Risk (C&ORC) team and participate in various global, regional and cross-product Equity Governance Committees as a representative of the C&ORC organization. – Provide subject-matter expertise on rules and regulations pertaining to equity derivative sales and trading activities. – Support in the design and implementation of the Operational Risk Framework. – Draft and review compliance policies and procedures related to equity and equity derivative sales and trading. – Develop and deliver compliance training.
Your team Compliance and Operational Risk Control (C&ORC) is an independent function providing oversight of the Compliance, Conduct and Operational Risks within the firm. The UBS C&ORC Compliance team is seeking a talented individual to lead and provide compliance support to the Global Equity division of the Investment Bank.
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.
About us 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 more than 50 countries. Do you want to be one of us?
Internal Number: 4814897
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