Compliance Specialist Germany and Denmark (m/f/d)

UBS; Frankfurt; On-site; EUR 70,000 - 90,000; Full time

Job summary

UBS in Frankfurt is seeking a Global Wealth Management compliance specialist to strengthen entity compliance frameworks and support the business in maintaining regulatory adherence.

You will work in the agile GWM Compliance team, advising front office colleagues, contributing to risk assessments, and delivering training on European and German regulatory requirements. Fluency in English and German is expected, with a collaborative, team-oriented mindset.

Qualifications

• Up to 3 years’ experience in risk management, risk control, audit or compliance.
• Sound know-how in analysing business processes.
• Strong knowledge of MiFID II or MAR and local regulatory environment.
• Ability to challenge documentation with independence.
• Fluent in English and German; other languages are a plus.

Responsibilities

• Advise and support front office colleagues to ensure compliance.
• Strengthen entity compliance frameworks.
• Support regulatory driven projects.
• Support compliance risk assessment process.
• Stay up to date on European and German regulatory requirements.
• Draft and deliver face to face training with our business.

Skills

Risk management

Business process analysis

Regulatory knowledge

MiFID II / MAR

Documentation review

English & German

Job description

Key Responsibilities

Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels? Are you motivated and a team player?

Job Type

Full Time, Part Time

Job Reference #

342693BR

City

Frankfurt am Main

Key Responsibilities

Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels? Are you motivated and a team player?

We are looking for a Global Wealth Management (GWM) compliance specialist to:

• Help us to strengthen our entity compliance frameworks
• support the business in remaining compliant within the regulatory environment and managing their risk
• Support regulatory driven projects
• Support the compliance risk assessment process
• Stay up to date on European and German regulatory requirements and trends and ensure that best practices are incorporated to ensure that compliance risks are identified, reported and their resolution is tracked
• Draft and deliver face to face training with our business

The team

You’ll be working in the agile GWM Compliance team in Frankfurt reporting directly to the Head of Compliance Germany and Denmark. Our role is to a high quality and professional compliance services in support of the UBS GWM business activities. This role will cover all aspects of general compliance duties aligned to GWM business. We help, for example, by keeping the business up to date on regulatory requirements, advise on capital market related topics and assessing the suitability of the investment products being proposed to our clients.

Your Skills And Experience

• Up to 3 years' experience in risk management, risk control, audit or compliance or a law firm
• sound know-how in the analysis of business processes
• good working knowledge of the local regulatory environment as it pertains to the GWM business; such as MiFID II or MAR
• ability to verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
• team-oriented, reliable and resilient (challenging situations and conversations don’t sway you) and ability to think outside the box
• Fluent in English and German (other languages are an asset)

About Us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.

We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA

UBS Recruiting

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.