UBS Financial Services Research Compliance in London, United Kingdom
Are you risk averse but risk aware? Do you have experience in Research Compliance and Operational Risk Control? We are looking for someone like that to:
– provide business management with controls, tools, training, frameworks , information and insights required to manage risk
– support Global Research in managing risk across their EMEA business activities
– perform second-line-of-defense activities in relation to consequential risks
– ensure risk frameworks are designed well and operating effectively
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.
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 EMEA CCS, Research & Control Room team in London.
We provide Compliance & Operational risk support to the Global Research business in EMEA (covering equity, credit, economist, macro strategists).
We work closely with CCS and Control Room colleagues to provide accurate and consistent guidance to the business across a range of regulatory and reputational issues, in addition to working closely with the Global Research Compliance and Operational Risk team members in APAC and the US.
Your experience and skills:
– A university degree
– Ideally have previous experience working with Research Compliance advisory role at an Investment Bank
– An understanding of the general concepts around Research Independence, the US Settlement and other relevant rules e.g. US rule 138 and 139
– Able to build and maintain effective working relationships both within the C&ORC function but also internal front office clients, including spending time sitting with the Research Analysts.
– Reliable and resilient (challenging situations and challenging conversations don’t scare you)
– Analytical and able to challenge documentation with an independent mindset
– Someone that is a strong team player and able to work closely with key internal stakeholders, while being able to work independently and drive forward projects and initiatives.
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?
Job Reference #: 171239BR
Business Divisions: Corporate Center
Title: Research Compliance
Job Type: Full Time
Country / State: United Kingdom
Function Category: Compliance