at UBS
Bulge Bracket Investment BanksPosted 12 days ago
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**First Vice President, Financial Advisor**: Lead IB Compliance in Frankfurt, challenging front-end controls, driving policy evolution, advising on risks, and ensuring adherence to securities laws, MIFID requirements, and internal policies. Relevant skills: *securities laws, regulatory guidance, risk assessment, policy development*. Experienced professionals with *investment banking, compliance, regulatory insight* sought.
- Compensation
- Not specified EUR
- City
- Frankfurt
- Country
- Germany
Currency: € (EUR)
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 |
