Compliance Officer, Employee Conduct
Job Reference #
Are you interested in building a long term career in compliance? Do you advocate for the importance of employee conduct? Are you adept at recognizing conflicts of interest?
We are looking for someone like you to:
• assess requests for employees' personal investment transactions
• assess requests for employees' external functions
• assess disclosures of employee’s family or other relationships with other employees, clients or vendors
• support employees with their annual affirmation and disclosure process, and manage exceptions
• answer questions and provide initial assessment on employee conflicts of interest requests
• provide reports on employee conflicts of interest information
• perform second-line-of-defense activities in relation to the above
• follow-up identified issues, define actions and track the timely resolution of corresponding escalations or violations
• support management to ensure risk frameworks in the area of competence are designed well and operating effectively
• work closely with colleagues globally and other divisions of the bank
You’ll be working in our Employee Conflicts of Interest team in Krakow. We cover topics where potential conflicts of interests between the employees, the firm and clients could arise, specifically in the area of personal account dealing, employees' external functions, ad-hoc disclosures of management transactions and employees' disclosure, certification and affirmation process. We are part of a cross-divisional and global function and service all UBS staﬀ worldwide.
• a degree in Law, Economics, Finance or similar
• experience in either compliance or risk control functions within the financial services sector
• a broad understanding of the financial markets and knowledge of investment products and their legal and regulatory frameworks
• open minded, with the ability to provide practical solutions and works well in a global team
UBS is the world’s largest and 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.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?
How we hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
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.