Senior Compliance Officer - UBS - London

Job description

• Compliance Officer to work within the existing Corporate Client Solutions (CCS) Compliance team reporting to the Head of GCM Compliance
• The role will involve support for the team’s advisory responsibilities in respect of both the Equity Capital Markets Solutions Group (“ECMS”) and Debt Capital Markets Solutions Group ("DCMS"), which includes Strategic Equity Solutions Group (“SESG”). The role will also have exposure to IBD and CCS Financing.
• Key responsibility is attendance at the Business Commitment Committees, opining upon transaction specific regulatory issues.
• Provision of ongoing regulatory advice throughout the life-cycle of a transaction, covering such topics as Information Barriers, Pre-sounding, Stabilisation, Allocations, Approval of marketing materials, Takeover Panel and UKLA Sponsor Regime.
• A further key aspect of the role will involve the provision of compliance training to GCM and the broader CCS business lines.
• The role will require close interaction with other Compliance teams including Monitoring and Surveillance, Investor Client Services (ICS) Compliance, AML as well as the Conflicts Clearance Unit (“CCU”) and the relevant Business Management teams.
• The successful candidate will also be required to get involved with new business proposals and project work, specifically relating to GCM, but with exposure to IBD and CCS Financing
• The individual will also be required to help deliver the team’s global objectives and strategic projects, and in doing so, should be able to manage workload and lead projects to a successful and timely conclusion

Requirements -

The ideal candidate should have;
– Experience of working in a private-side advisory compliance team within an Investment Bank
– A good understanding of the Equity & Debt Capital Markets and Investment Banking products.
– A good understanding of the relationships between Sales, Trading and Research issues and GCM activities. Knowledge of IBD and Structured Finance Products would also be beneficial.
– A good appreciation and experience of the core functions carried out by a private-side Compliance Team.
– Knowledge of UK and European Securities regulation and the ability to provide a practical interpretation of regulations in the context of the firm’s business activities.
– Resilience and be able to effectively manage workload in the fast paced GCM environment
– The ability to develop a detailed understanding of the UBS’s controlling policies and procedures
– Strong interpersonal skills that will allow them to build and maintain effective working relationships both within the Compliance & Operational Risk function, but also across UBS’s business.

The successful candidate

- Must be an exceptionally strong team player and happy to operate in a non-siloed environment.
– Must be able to deal with Senior Business personnel, and communicate messages in a clear and concise manner
– Excellent written and oral communication skills are a must as advice given must be clear, timely and appropriately delivered.
– Must work well under pressure
– Is able to manage time and work load effectively to ensure that longer term projects/initiatives are successfully driven forward.
– Should have confidence in their decision-making ability and understand when to escalate appropriately
– Must be a self-starter who is able pick up discrete pieces of work and run with them whilst exercising sound judgement in terms of when to seek guidance or escalate issues to the team leader.
– Must have writing skills capable of producing clear, concise policies and procedures.
– Must possess good mediation skills and have a sense of diplomacy
– A thorough knowledge of the issues and regulations affecting an Investment Bank, and the technical aspects of the products provided
– The role will require someone who has the ability to learn, understand and apply the various rules, regulation and risk appetite at a local, regional and global level.
– You must be enthusiastic for new challenges, able to demonstrate judgment and decision making, but understand when to escalate issues.

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.

Desired Skills and Experience

The ideal candidate should have;
– Experience of working in a private-side advisory compliance team within an Investment Bank
– A good understanding of the Equity & Debt Capital Markets and Investment Banking products.
– A good understanding of the relationships between Sales, Trading and Research issues and GCM activities. Knowledge of IBD and Structured Finance Products would also be beneficial.

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