at UBS
Bulge Bracket Investment BanksPosted 12 days ago
No clicks
**Compliance Officer - Investment Banking (f/m/d)** in Frankfurt. Review and challenge front-end systems, ensure compliance with securities laws and firm policies. Support governance forums, advise business on risks, and assist in regulatory interpretations and audits. Requires strong analytical skills, independence, and familiarity with market abuse and MIFID requirements. Ideal candidate has 3-5 years' experience in compliance and securities laws, with proficiency in relevant regulatory databases and tools. Join our global team to drive compliance and risk management in investment banking.
- Compensation
- Not specified
- City
- Frankfurt
- Country
- Germany
Currency: Not specified
Full Job Description
| Are you intellectually curious? Do you know how to maintain independence and objectivity and like to constructively challenge complex issues? We are looking for a motivated colleague, interested to join our Investment Banking (IB) Business-Aligned Compliance team, based in Frankfurt who has and wants to further develop these attitudes while we provide the dynamic environment to apply them. Within the global network of the IB aligned Compliance function you will: review and challenge front-end systems and controls to prevent the business from violating regulations or disregarding firm policies and procedures provide entity and location-specific input to global IB business-aligned Compliance policies and procedures in relation to securities laws, rules, regulations, principles for business, and other regulatory guidance. support the UBS Europe SE IB Compliance team in preparation for governance forums and committees Advise business on risk and compliance related matters provide material assistance with regulatory watch interpretation, internal audit reviews, and testing perform controls on Market Abuse, MIFID related requirements | Show more Compliance Officer (f/m/d) - Investment Banking |
