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Head of Compliance Nordics and IB Netherlands to UBS

For our client UBS , we are looking for a Compliance Officer with experience from the financial market. You will work in a broad role close to the business, supporting them in legal and compliance related issues.

UBS is a global firm, providing financial services to private, corporate and institutional clients. From our offices in Stockholm and Amsterdam wealth management, investment banking and asset management services are offered.

The Role

In the role of Compliance Officer, you are responsible for ensuring that the business is conducted in accordance to current laws, rules and regulations. Your responsibilities include UBS Stockholm branches and UBS Investment Bank’s subsidiary in Amsterdam. You will report to the Head of Compliance Benelux, Austria and Sweden, and the COO for the Nordic Countries and the Netherlands.

The role includes:

  • provide advice and support to the Country Head, COO, management, employees and Legal & Compliance colleagues on regulatory, compliance or legal issues/topics
  • represent Compliance on regional management and risk committees, including the Nordic Group Management Committee, The Netherlands Management Committee, the Nordic and Netherlands Operating Committees;
  • maintain the relationship with the local regulators, in conjunction with the Country Head and COO, and deal with regulatory inquiries or issues;
  • provide advice and support the control functions; work with internal and external audit, including providing required information. Liaise with external counsel, as appropriate.
  • perform the role of local MLRO (Money Laundering Reporting Officer)
  • maintain up to date Compliance manuals, policies and procedures;
  • deliver compliance education, both to new joiners and to existing staff, as required under the country / regional education plan;
  • perform compliance monitoring / controls, under the existing monitoring program.

In Sweden, as a result of the establishment of Advisory services in wealth management during 2014, the need for strong local compliance support will increase. You will be expected to build and develop this function, using your ability to create good working relationships and providing the necessary structures, naturally with support from UBS international organization.

The role will involve travel to Amsterdam on a regular basis.

As an employee of UBS you will receive a high level of responsibility with a large degree of freedom, in an international environment and strong market competitive conditions. The company culture is characterized by three principles which all employees bring to life in their daily contribution – excellence, client focus and sustainable performance.

Experience, education and personality

To be successful in this role, you are required to have at least 5 years experience in a similar role from the banking and finance environment. You have a good understanding of financial products and knowledgeable in risk control. Experience of process or project-related tasks is preferred, as well as a desire to work close to the business and hands-on with compliance issues. If you have worked in an international environment we see this as an advantage.

A relevant educational degree is required, preferably with legal qualifications. Fluency in English is a prerequisite for the role. Excellent proficiency in Swedish is a merit.

In this recruitment we value highly personal qualities. We are looking for someone who is independent and works with high integrity. You have good communication skills and an ability to objectively challenge and and advise senior executives, giving them clear, accurate and precise compliance counsel. Furthermore, we are looking for strong analytical, strategic, and negotiation skills.

About UBS

UBS is a client-focused financial services firm that offer a combination of wealth management, asset management and investment banking services on a global and regional basis. With 60,000 people in 50 countries UBS combines global reach with local knowledge. By delivering a full range of advice, products and services to private, corporate and institutional clients, UBS aims to become the choice of clients worldwide. Geographically, we aim to be a top tier bank in every growth region, and we will optimize the combination of our businesses to generate more value to our clients and shareholders.

About UBS

UBS is a client-focused financial services firm that offer a combination of wealth management, asset management and investment banking services on a global and regional basis. With 60,000 people in 50 countries UBS combines global reach with local knowledge. By delivering a full range of advice, products and services to private, corporate and institutional clients, UBS aims to become the choice of clients worldwide. Geographically, we aim to be a top tier bank in every growth region, and we will optimize the combination of our businesses to generate more value to our clients and shareholders.

Head of Compliance Nordics and IB Netherlands to UBS

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