Ib Brazil Compliance Officer

2 semanas atrás

São Paulo, São Paulo, Brasil UBS Tempo inteiro
Brazil
- Compliance
- Group Functions
**Job Reference #**
- 296828BR
**City**
- Sao Paulo
**Job Type**
- Full Time
**Your role**
- Are you interested in Banking and Regulations? Do you advocate for the importance of operational risks?
- We're looking for an active IB compliance officer to:
- Conduct compliance risk assessments and implement effective internal controls.
- Continuously monitor and review Global Markets activities to ensure compliance with local regulations and Global Policies applicable to the covered products.
- Perform the periodic mandatory review of local and supplementary policies and procedures.
- Perform the assessment and review of Group Policy updates and its impacts on local policy and procedures.
- Coordinate compliance training and education for the team, ensuring everyone is up to date with regulatory standards and Group policies.
- Stay updated and perform the gap analysis of new/emerging legislation/regulation and their implications for the Global Markets activities.
- Assist in preparation of compliance materials to be presented to the local/global Committees and Forums.
- Effective support on the identification of Non-financial risk issues, Action Plans and the closure of such items
- Collaborate with other departments to ensure an integrated approach to compliance.
**Your team**
**Your expertise**
- Minimum 5 years of compliance experience in compliance, preferably in brokerage firms or financial institutions.
- Knowledge of Global Markets activities
- Familiarity with Brazilian Brokerage regulations and manuals of CVM (Brazilian Stock Exchange Commission), Brazilian Central Bank, Brazilian Stock Exchange/BSM and ANBIMA's self-regulator will be considered a plus
- Excellent communication skills and ability to handle pressure situations.
- Proactivity, ethical sense, and integrity.
- PQO Compliance certification is a plus
- Writing and communication skills
- Ideally Fluent English
- Willing to learn, and able to balance a diverse workload with multiple deadlines
- Good Excel skill (Pivot Table, Vlookup, etc)
**About us**
- UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
- We have a presence in all major financial centers in more than 50 countries.
**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
- From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
**Contact Details**
- UBS Business Solutions SA
- UBS Recruiting
**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.

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