Compliance Specialist (f/m/d)

UBS is the world’s largest and the 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..
We have a presence in all major financial centers in more than 50 countries.

Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for an individual to join our Compliance Team, based in Frankfurt, who can:
• act as a compliance subject-matter expert and supports the business in ensuring effective management of consequential risks in their specialist area in order to protect UBS’ reputation and long term sustainable growth, through the provision of subject matter expertise
• understand the business, key risks, regulations and technology impacting the business
• establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards in relation to wealth management business
• support and coordination of internal and external audits and a branch wide risk assessment
• work closely with multiple stakeholders on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
• ensure the necessary wealth management risk frameworks are appropriately designed and operating effectively across the consequential risk taxonomies

• a degree in banking and finance, economics or similar subject
• at least 3 years of experience in compliance, risk management or similar in a wealth management business
• experience of European regulatory framework and supervisory approach
• experience working in a ECB and BaFin supervised entity
• insights in Compliance function according to Minimum Requirements for Risk Management (MaRisk)
• analytic, with the ability to provide practical solutions for minimizing risk
• result-oriented and collaborative (you put the team’s interest first)
• proactive and problem solver
• fluent in English and German
• feel comfortable in an international environment and enjoy working with teams based in multiple locations

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.