Compliance Officer – Investment Banking & Research

  • Competitive
  • Sydney, Nouvelle-Galles du Sud, Australie
  • CDI, Plein-temps
  • UBS AG
  • 15 déc. 17


Job Type
Full Time

Your role
Do you enjoy working in dynamic teams? Are you excited by the opportunity to assist on complex transactions and manage regulatory risk? Are you solutions oriented? We're looking for someone like that who can help us:

- Build and maintain productive working relationship with senior investment bankers and Research Analysts;
- Provide prompt advice and guidance to bankers and analysts on regulatory requirements, relevant policies and procedures;
- Prepare and deliver quarterly training to bankers and analysts;
- Identify and manage potential conflicts of interest relating to investment banking transactions and maintenance of the firm's Grey and Restricted Lists; and
- Review and approve global Research reports for regulatory, reputational and potential conflicts of interest

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?

Your team
You'll be working in the Corporate Client Solutions (CCS) and Research business aligned Compliance & Operational Risk (C&ORC) team which sits within our boarder C&ORC team here in Sydney office. Working the CCS and Research Head of C&ORC in Australia and New Zealand and an additional team member, you will be responsible for the day to day operation of the compliance program as it relates to these critical and exciting businesses.

Your experience and skills
You have:

- Minimum four to seven years' working experience following academic qualification;
- Committed to a career in investment banking experience in either a legal, risk management, risk control or compliance environment; and
- a gift for analyzing and solving problems

You are:
- Genuinely interested in investment banking and regulatory risk;
- a strong communicator, comfortable interacting with colleagues at all levels;
- reliable and resilient (challenging situations and conversations don't scare you); and
- adaptable, with strong interpersonal skills


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.