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| L&C Control Framework Professional |
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The Global Legal & Compliance (L&C) Control Framework unit has the mandate to implement standards, tools and processes for the identification, analysis, reporting and tracking of issues overseen and/or owned by Legal and/or Compliance. In addition, it provides consolidated reporting and identification of any adverse trends on such issues from a UBS Group perspective. This unit is looking for a person with expertise in audit and risk management, who is interested in deploying his/her conceptual and analytical skills as L&C Control Framework Professional, UBS Investment Bank
In this role, you will work with the key account manager for UBS Investment Bank (IB) and act as a contact for IB-aligned L&C, in order to ensure timely delivery of high-quality services to IB-aligned L&C and an effective L&C Control Framework. The main areas of responsibility of the L&C Control Framework team for the Investment Bank include:
(i) maintaining and supporting the functional Operational Risk Framework (ORF) for Legal and Compliance (e.g. self-certifications and risk assessments);
(ii) working closely with the senior leadership of the L&C function and assisting them with the assessment and reporting of operational risk and audit issues;
(iii) monitoring the progress of remediation and escalating delays in closure of operational risk and audit issues addressed to Legal and Compliance;
(iv) facilitating interactions with Group Operational Risk, Group Internal Audit and E&Y on topics and issues in scope of Legal and Compliance, where appropriate;
(v) facilitating the monthly “Legal Events” process on litigation matters to ensure, that such matters are properly reflected in UBS's financial accounts and operational loss data bases; and
(vi) supporting the IB-aligned L&C management in their SOX 302 and 404 certifications.
You will report to the Head L&C Control Framework UBS Investment Bank and will work closely with the Office of the IB Global General Counsel and senior leadership of the L&C function. |
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Bachelors
Other Certification (legal or accounting)
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5 years + |
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English : Speak / Write Fluently
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open-ended |
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unspecified |
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EU National |
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London |
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• You will have a University Degree. Professional qualification gained in legal or accounting field is a plus.
• You will have a Compliance or Legal background with an international outlook and relevant experience in the financial services industry.
• You have excellent communication skills both oral and written.
• You are pro-active and have the ability to identify key issues and trends, undertake analysis and challenge existing views.
• You have the ability to work closely with persons from different backgrounds and to negotiate and liaise effectively with them.
• You are a team player, flexible, committed, have good common sense and the flexibility and willingness to learn new things.
• You are organized, efficient and effective.
• You are willing to travel on an occasional basis.
• You are fluent in English. Additional language skills would be an asset.
• You have gained some experience in project management and are a skilled user of MS Office products. |
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Headquartered in Zurich and Basel, UBS is a global firm providing financial services to private, corporate and institutional clients. UBS is present in all major financial centers and has offices in over 50 countries. |
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UBS
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