Investment Banking Front Office Compliance

2 weeks ago

Sydney, Australia UBS Full time

Australia
- Investment Banking
- Investment Bank

**Job Reference #**
- 308362BR

**City**
- Sydney

**Job Type**
- Full Time

**Your role**
- Do you enjoy solving complex puzzles and thinking critically about strategic situations? Do you know how to evaluate risks to make the right call in a challenging and fast-paced environment?

We’re looking for someone like that who will work on the following responsibilities:

- coordinating and managing the Conflict Clearance process and completion of Conflict Clearance checks for new Global Banking transactions with a nexus to APAC, including ad-hoc Conflict Clearance requests from other divisions of the Investment Bank and Wealth Management.
- using various databases to obtain company information and identify potential conflict, reputational and / or regulatory risks.
- identifying and escalating any potential conflict, risk, or reputational issues to the appropriate functions in a professional and efficient manner.
- coordinating input from banking teams (including senior bankers) and various other departments (Legal, Compliance, FinCrime, Sanctions, ESR and KYC) to carry-out the role and to ensure full compliance with the firm’s regulatory obligations.
- maintaining internal databases, taking care of the team’s internal filing system, and recording Conflict Clearance, Business Review Group (BRG), and KYC approvals as necessary.
- assisting with organizing various internal Business Approval committees by scheduling internal calls with relevant people, preparing packs, and updating records.
- assisting in the preparation of materials for regional / global management committees.

**Your Career Comeback**

**Your team**
- To coordinate and help manage the Conflict Clearance process in APAC, you will be working in in the APAC Business Selection and Conflicts (BSC) team. The position requires interface with banking staff at all levels, Legal, Compliance, and back office functions. This team and position sit directly within the front office in the Investment Bank of UBS.

**Your expertise**
- several years of work experience in a bank, financial services, accounting, or legal firm
- prior experience working in a Business Selection and Conflicts team in an investment bank, preferred
- a bachelor's degree or equivalent in finance, economics, law, business administration, or a related field
- attention to detail
- excellent verbal and written communication skills, with ability to explain complicated concepts in a clear and concise manner
- strong relationship building and diplomatic skills
- need to be collaborative, and able to solicit and synthesize multiple viewpoints to ensure that all key facts are gathered and that a balanced conclusion is reached
- a sense of adaptability, flexibility, and a desire to learn in a fast moving, multi-country, and evolving business and regulatory environment
- strong time management, organizational and multi-tasking skills, with ability to prioritize multiple tasks to ensure varying commercial deadlines are met
- proficient in Word, Excel, and PowerPoint, with the ability to quickly learn other databases and software
- understanding of Business Selection and Conflicts procedures, preferred
- interaction with generally members of a bank at all levels, preferred
- prior experience in relevant function, preferred
- prior experience in investment bank transactions, preferred
- #LI-TC1

**About us**
- 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.

**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, 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?

**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.

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