Research Compliance Specialist Research Compliance Specialist …

UBS
in London, United Kingdom
Permanent, Full time
Last application, 01 Dec 21
Competitive
UBS
in London, United Kingdom
Permanent, Full time
Last application, 01 Dec 21
Competitive
UBS
Job Reference #241820BR
Your team
You will be working in our EMEA Research Compliance team in London on a permanent basis, reporting into our EMEA Head of Research & Analytics Compliance. We provide Compliance & Operational risk support to our Global Research business in EMEA (covering equity, credit, economists and macro strategists) and our aligned Evidence Lab team.

You will also work with Global Banking and Control Room colleagues to provide accurate and consistent guidance across a range of regulatory and reputational issues in addition to working closely with Global Research Compliance and Operational Risk team members in APAC and the US.

Your expertise
• a University degree
• prior experience working with Research in a compliance advisory role at an Investment Bank, an exchange or a regulator
• Ideally have some awareness of Global Banking transactions and IPOs in particular.
• an understanding of the general concepts around Research Independence, the US Settlement and other relevant rules e.g. US rule 138 and 139
• the ability to build and maintain effective working relationships both within the Compliance function but also internal front office clients, including with the Research Analysts
• reliable and resilient (challenging situations and challenging conversations don't worry you)
• analytical and able to challenge documentation with an independent mindset
• a strong team player and able to work closely with key internal stakeholders, while being able to work independently and drive forward projects and initiatives

About us
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?

Join us
From gaining new experiences in different roles to acquiring fresh knowledge and skills, at UBS 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.
Company Overview

UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland.
We're a team of more than 66,000 colleagues, collaborating across all major financial centers in 50 countries. We strive for excellence in everything we do, and this has awarded us recognition across our businesses. We offer a collaborative, international and diverse working environment that rewards passion, commitment and success – and are regularly recognized as an attractive employer.

Together for the goals
#TOGETHERBAND raises awareness about the 17 United Nations Sustainable Development Goals for 2030 through 17 uniquely colored bracelets. Each pack contains two individually packaged bands: one to wear and one to share so you can spread the word about what goal matters most to you and give someone else the opportunity to do the same. The production and money raised from the sales of these bands will help fight injustices such as poverty and gender inequality as well as climate change and unfair labor.

Right now, #TOGETHERBAND is helping to support emergency COVID-19 relief. For the month of April, our partners at #TOGETHERBAND have created TOGETHER FUND to help fight the pandemic and provide aid to those who need it most.

UBS logo
More Jobs Like This
See more jobs
Close