Compliance Officer

  • Competitive
  • Luxembourg
  • Permanent, Full time
  • UBS
  • 23 Jan 18 2018-01-23

Compliance Officer



Your role
Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? We are looking for someone like that to:
– manage all compliance aspects for UBS Europe SE, Luxembourg Branch custody and depositary's business to comply with relevant set of legal and regulatory requirements as well as with Group directives and standards;
– analyze existing and proposed legislation, regulatory announcements, and industry practices, and help businesses to develop and implement procedures to meet these requirements;
– prevent, mitigate and/or control compliance and operational risks, develop directives and procedures, and ensure that these are adhered to
– provide business with controls, tools, training, frameworks, information and insights required to manage risk;
– perform second-line-of-defense activities in relation to consequential risks;
– ensure risk frameworks are designed well and operating effectively;
– deliver independent risk assessment and report that shed light on our risk profile.

Your team
You'll be working in the Compliance & Operational Risk Control team in Luxembourg. We are managing a broad range of compliance aspects (including but not limited to conduct risk such as MiFID, cross-border and employee compliance) for the Wealth Management business of UBS Europe SE, Luxembourg Branch. We are providing professional support, advice and coaching to comply with relevant legal and regulatory requirements as well as with Group directives and standards for the management of four locations: Luxembourg, Austria, Denmark and Sweden. On top, we have a close cooperation with all local business areas of UBS Europe SE, Luxembourg Branch.

Your experience and skills
You have:
– a university degree in economics, finance or law
– experience of minimum 4 to 5 years in either compliance or risk control areas within the fund industry;
– strong understanding of the fund management regulatory framework and the custodian aspects for investment funds;
– sound know-how in the analysis of business processes.

You are:
– able to critically verify aspects of wealth management business and challenge documentation with an independent mindset
– reliable and resilient (challenging situations and conversations don't scare you)
– fluent in both written and spoken English and German; French will be considered as additional asset

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.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

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.

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?