IB Compliance Analyst

Job Reference # 305802BR

City Sao Paulo

Job Type Full Time

Your role

Are you risk averse but risk aware? Do you know how to evaluate risks in a challenging and fast-paced environment?

We’re looking for a Compliance Specialist to:

1. continuously monitor and review Global Markets activities to ensure compliance with local regulations and Global Policies applicable to the covered products
2. conduct compliance risk assessments and implement effective internal controls, as well as providing support on the identification of non-financial risk issues, Action Plans and the closure of such items
3. liaise with Business and Supporting Functions for day-to-day compliance related issues and questions, communicate and collaborate with key partners in US Compliance via Working Groups, Integration efforts and implement solutions that require US approval
4. follow-up on market developments and new laws, rules and regulations pertaining to the Business and assist with the assessment of any internal implications
5. assist the Head of IB Coverage Compliance in the preparation for internal and external audits and regulatory inspections
6. develop and update policies and procedures, according to applicable regulations and internal guidelines.

Your team

You will be working within the IB Global Markets Coverage Compliance team (Derivatives & Solutions, FX and Structured Lending) based in Sao Paulo, Brazil. Our team is responsible for the identification and management of Business Compliance risk, performing regulatory routines and providing advisory to the Business units related to the day-to-day guidance on policies, applicable regulations, and compliance related issues. As a Compliance Specialist, you’ll play an important role ensuring the appropriate and timely escalation of issues, support, and collaboration on compliance/business initiatives.

Your expertise

1. 3+ years of experience in compliance, legal, or related activities
2. knowledge of trading structures, derivatives, and lending products
3. proven ability to effectively multitask both daily advisory responsibilities and manage business projects
4. Fluent in English and Portuguese
5. PQO Compliance certificate - if not yet obtained, it must be acquired within the timeframe set by the company (90 days)
6. availability to work on-site in São Paulo at least 3-days per week (hybrid work)

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.

How we hire

We may request you to complete one or more assessments during the application process. Learn more

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.