Equities Compliance Officer in England - London, United Kingdom

at UBS Investment Bank

Investment Banking
Financial Services
Minimum Qualification
Required Experience
15+ years
Employment Type
Full Time
Male or Female
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Job Description

UBS operates one of the leading global equity businesses with its European operations focused in London. The business encompasses domestic and international equity and equity-related sales, trading and research and exchange traded and OTC derivatives.

The Role
The firm is recruiting for a compliance professional to join the EMEA Equities Compliance team to assist as one of a team of three providing compliance coverage of the London based Cash Equities and Synthetic Equity businesses. The primary responsibilities of this role, which is based in a location adjacent to the trading floor and covers teams responsible for cash/synthetic equity sales and distribution, corporate access, portfolio trading, sales trading, worked trading, algorithmic trading, DMA and statistical arbitrage. The role will also cover the team supervising UBS MTF. The candidate will provide advice on sales and trading issues, compliance policies and procedures, and regulatory developments; provide training on new laws and policies, business compliance needs and best practices; and, support the monitoring of the full front to back business process, including compliance risk reviews and review of new business and transactions requiring pre-approval. The role will also involve support for other aspects of the Equities Compliance team’s work. The successful candidate will also be required to get involved with the team’s responsibilities for new business proposals and project work, again primarily focused on the Cash Equities and Synthetic Equity businesses.


The ideal candidate will be a graduate / professional with proven experience in the securities industry, preferably in regulation and / or institutional equities. 

Candidates will demonstrate:
- An understanding of the equity and equity derivative products and markets and the relationships between sales, trading and research issues and corporate finance activities. Good appreciation and experience of the core functions carried out by an Equities Compliance team.
- Knowledge of EMEA securities regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm’s business activities.
- Must be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, and be willing to undertake a variety of roles within the team as required.
- Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views/opinions given to EMEA Equities management and front office/support staff.
- Pragmatism and the ability, when under pressure, to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions.
- An ability to build and sustain strong relationship with Equities personnel and colleagues in Legal & Compliance.
- Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour.
- A strong interest in algorithmic trading and associated regulatory issues would be of benefit.


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