Compliance Monitoring Specialist
Job Reference #
Do you have experience in Compliance risks, Financial Crime Prevention or in performing second-line-of-defense activities? Are you analytic and passionate about non-financial risk management rules and regulations? Would you like to join a newly established team within Monitoring, Surveillance and Controls (MS&C) for UBS Europe SE?
We are looking for a Compliance Monitoring Specialist who:
•acts as a non-financial risk controller by performing manual controls related to Market Conduct, Financial Crime (AML and KYC; Bribery and Corruption), Product & Service Lifecycle, Suitability and Cross-Border Business – all in accordance with global standards;
•executes controls covering specific regulatory requirements applicable for UBS Europe SE locations;
•runs the Fraud Transaction Monitoring process in close alignment with the Financial Crime Prevention Function;
•contributes to the continuous enhancement of our monitoring programs and processes within the MS&C community;
•creates and maintains required Standard Operating Procedures and prepares management reporting; and
•develops and maintains relationships with different UBS Europe SE and UBS Group stakeholders, in particular within the Compliance, Financial Crime Prevention and Operational Risk Control functions.
You’ll be working in the MS&C UBS Europe SE team in Krakow. The team is responsible for risk-based monitoring and surveillance activities, to supplement the supervisory controls performed by the business themselves and other independent control functions. The activities cover the divisions Global Wealth Management , Investment Banking and Asset Management. You’ll play an important role in keeping our risk and control framework robust and frequently liaise with the EMEA MS&C teams being also located in Krakow.
Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.
•bachelor’s degree or equivalent in finance, economics or law;
•proven experience in the financial industry within risk or compliance will be an asset;
•strong analytical skills and being keen on laws and regulations;
•good communication skills with excellent command of English & German or English & Italian (spoken and written);
•confidence to challenge the status quo and demonstrate strong risk awareness;
•ability to quickly gain knowledge on assigned processes and act as subject matter expert;
•well organized and able to prioritize urgent and important tasks as well as independent working attitude;
•team player with ability to build good working relationships with multiple stakeholders and to work as a collaborative and proactive member of a team; and
•strong MS-Office skills and digital attitude.
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.