Investment Banking Front Office Compliance

Welcome to UBS, a leading global investment bank with a dynamic and diverse work culture. We are currently seeking a highly motivated and detail-oriented individual to join our Front Office Compliance team. As a member of our team, you will play a crucial role in ensuring that our investment banking activities comply with all applicable laws, regulations, and internal policies. This is an excellent opportunity for someone with a passion for compliance and the financial industry to join a reputable organization and make a meaningful impact. If you have a strong knowledge of investment banking activities and a keen eye for detail, we encourage you to apply.

1. Conduct thorough reviews of investment banking activities to ensure compliance with all relevant laws, regulations, and internal policies.
2. Stay up-to-date on changes in laws and regulations related to investment banking and proactively implement necessary changes to ensure compliance.
3. Collaborate with cross-functional teams to develop and implement compliance programs and procedures.
4. Conduct training and education sessions for employees on compliance policies and procedures.
5. Identify potential compliance risks and work with the team to develop strategies to mitigate them.
6. Conduct investigations into potential compliance violations and take appropriate action.
7. Maintain accurate and comprehensive records of compliance activities and findings.
8. Communicate effectively with internal and external stakeholders regarding compliance issues and updates.
9. Stay informed about industry best practices and make recommendations for process improvements.
10. Act as a subject matter expert on compliance matters and provide guidance to colleagues.
11. Support internal and external audits and regulatory exams.
12. Foster a culture of compliance within the organization by promoting ethical behavior and risk awareness.
13. Handle confidential information with integrity and ensure that all compliance activities are conducted in a confidential manner.
14. Continuously evaluate and improve compliance processes and procedures to ensure efficiency and effectiveness.
15. Represent the company in a professional manner and maintain a positive working relationship with colleagues, clients, and regulators.

According to JobzMall, the average salary range for a Investment Banking Front Office Compliance in Australia is between $150,000 and $250,000 per year. However, this can vary depending on the specific role, company, and individual's experience and qualifications.

UBS is a global firm providing financial services in over 50 countries. The company provides wealth management, asset management, and investment banking services for private, corporate, and institutional clients worldwide.