Compliance & Operational Risk Officer, Control Room & Advisory

City

Sydney

Job Type

Full Time

Country / State

Australia

Function Category

Compliance

Join Us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

• UBS Business Solutions SA
• UBS Recruiting

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.

Your Team

You’ll be working in the Global Research, Banking and Control Room C&ORC team in Australia reporting directly to the Head of Global Research, Banking and Control Room for C&ORC Australia & New Zealand. You will be part of a team whose role is to provide high quality and professional compliance services in support of the wider UBS Investment Banking and non-Investment Banking business. This role will cover all aspects of general compliance duties aligned to Global Research and Banking business.

We help, for example, by reviewing and approving complex Global Banking transactions, reviewing draft Global Research, monitoring requests from Banking, Wealth Management, Markets and/or their clients for Research resources, handling regulatory investigations into the Global Banking or Research businesses and maintaining the quality of the UBS control framework including the management of Grey and Restricted lists. We keep the business up to date on regulatory and internal UBS requirements and assist in the assessment of the suitability of the investment products being proposed to our clients.

Your Expertise

• Your experience and skills:
• • at least 2 years in a relevant compliance/regulatory environment
• • Investment banking structural and product/ service knowledge and awareness of relevant risks and conflicts to be managed;
• • Awareness of relevant laws, regulations and regulatory framework – including the Corporations Act (Commonwealth), the ASX listing rules and similar;
• • An academic and/or professional background in risk management, commerce or law would be advantageous;
• • Good communication and interpersonal skills;
• • Have the ability to think out of the box and challenge the status quo to drive improvement;
• • Able to critically assess and challenge with an independent mindset;
• • Reliable, resilient and capable of independently dealing with business desk heads and key stakeholders (challenging situations and conversations don’t scare you)
• • Fluent in English.

About Us

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

We have a presence in all major financial centers in more than 50 countries.

How We Hire

We may request you to complete one or more assessments during the application process. Learn more