UBS Financial Services Compliance Advisory Specialist - Private Side Products and Services in London, United Kingdom

Your role:

Are you risk averse but risk aware? Do you specialize in regulatory initiatives and corporate center? We are looking for someone like that to:

  • Primarily support the IB Corporate Client Services (CCS) Coverage & Advisory business, which includes the sector teams of UK, Financial Institutions Group, Global Industries Group, Consumer Products and Retail, Technology Media Telecoms, Natural Resources Group, Healthcare, Real Estate, Advisory and M&A products to manage compliance and operational risk related to the CCS business.

  • Be involved in new business initiatives or projects and provide necessary education, create and deliver training to the CCS Business.

  • Work with CCS Business management to establish and update controls, tools, training, frameworks, information and insights required to manage risk.

  • Work closely with the C&ORC colleagues covering the Capital Markets business, and cross train where possible to enable effective team coverage.

  • Work in close collaboration with colleagues in the Global Control Room and CCS business aligned teams globally to ensure consistency, and provide assistance to local country C&ORC colleagues.

  • Liaise with C&ORC colleagues in Investor Client Services, Wealth Management and Asset Management to manage wider risks inherent in CCS business.

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.

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.

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 Corporate Client Solutions (\"CCS\") Advisory Compliance team in London reporting to the Head of EMEA CCS Coverage & Advisory Compliance and form part of the Investment Bank EMEA C&ORC team comprising Coverage & Advisory Compliance, GCM & Financing Compliance, Research and the Control Room.

Your experience and skills:

You have:

  • Excellent interpersonal skills and knowledge or experience in the following would be very helpful; business and personal conflict identification and methods to manage, the Market Abuse Directive, Takeover Panel Rules, UKLA Sponsor Services.

  • Experience of working in a private-side advisory compliance team, with an understanding of private side products and services such as advisory, financing, equity and debt capital raising, loans, etc

  • Sound knowledge of UK and European Securities regulation and to provide practical interpretation of regulations, especially requirements around Insider Lists, assessing information to be unpublished price sensitive information and implications of that on activities that can be undertaken.

You are:

  • A strong team player that is able to, work under pressure, with strong communication skills and able deliver a clear concise message to senior personnel

  • Able to manage tasks efficiently and exercise sound judgment with confidence in your decisions yet also recognize when it is appropriate to escalate

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 almost 900 offices and more than 50 countries. Do you want to be one of us?

Job Reference #: 155935BR

Business Divisions: Corporate Center

Title: Compliance Advisory Specialist - Private Side Products and Services

City: London

Job Type: Full Time

Country / State: United Kingdom

Function Category: Compliance