Trade surveillance C&ORC Specialist
Job Reference #
Are you an expert when it comes to performing second-line-of-defense activities?
Are you familiar with Rates & Credit products and Markets
We’re looking for a Trade surveillance C&ORC Specialist to:
• act as a compliance and operational risk control (C&ORC) subject-matter expert for MS&C PM Market Conduct, supporting them in managing risk
• ensure a profound C&ORC framework is in place and kept up-to-date with policies and procedures as well as legal, regulatory and business standards
• deliver independent risk assessment and provide effective challenge to the 1st and 2nd line of defense in relation to consequential risks and the risk frameworks
• provide business management with controls, tools, training, frameworks, information and insights required to manage risk
• use financial modelling to certify transactions are in line with regulatory requirements
You’ll be working in the MS&C PM Market Conduct FRC team in Krakow and play a vital role in independently reviewing and monitoring transaction risks within the investment bank's Rates & Credit portfolio.
As a Trade surveillance C&ORC Specialist, you’ll serve as second line of defence and challenge all Rates & Credit products risks associated with the Investment bank’s R&C transactions and orders.
• bachelor’s or master’s degree or equivalent in finance, economics, legal, or similar area
• ideally 2+ years of experience in risk, audit or compliance within the financial services industry
• strong knowledge of Market Abuse regulation (FINRA, MAR, MiFID II and APAC regulatory scope) and market abuse offences in fixed income
• strong analytical skills, with good attention to details and with the ability to provide practical solutions for minimizing risk
• fluent in English confident communicator and collaborator
• result-oriented and assertive (you don’t shy away from challenging situations)
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
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.
You are kindly requested to include the following clause in your application: "Wyrażam zgodę na przetwarzanie moich danych osobowych zawartych w ofercie pracy dla potrzeb procesu rekrutacji zgodnie z ustawą z dnia 27.08.1997r. Dz. U. z 2002 r., Nr 101, poz. 923 ze zm."