Poland

Fund Services

Personal & Corporate Banking

Your role

We’re looking for an Investment Compliance Specialist:
You will be responsible for:
• Performing control tasks within the periodical (generally daily) monitoring process of funds against applicable rule set (laws and regulations, prospectus and internal) using Xentis for automated checks and other tools for manual checks.
• Classifying breaches (active, passive, no breach i.e., technical, data issue).
• Liaising with involved parties (e.g., Investment Manager, custodian bank, compliance, data provider and within team eligibility specialist, rule specialist, tech/data specialist).
• Conducting follow up of breaches, communicating with involved parties, commenting, and documenting breaches, escalating, if applicable.
• Ensuring correct interpretation of rules, solve basic interpretation and eligibility queries and maintaining respective eligible assets/instruments data base.

Job Reference #

320270BR

City

Kraków, Wroclaw

Job Type

Full Time

Your team

Asset Servicing offers a unique opportunity in taking part in our strategic business growth initiative. We are heavily investing in our organization in Poland, while significantly transforming our business. The foreseeable future will be eventful, as we are planning to upgrade our platform, grow substantially in terms of assets under administration as well as by the client base.
Several functions in Wroclaw and Krakow, such as Fund Accounting, Alternative Investments, Valuations, Investment Guidelines Monitoring, Transfer Agency and Project Management will be further developed over the next years. As a member of the team, you’ll play an important role in delivering relevant outputs for our clients. We are dedicated to support one another and our business partners. You will work within international environment and collaborate with our colleagues in Luxembourg, Switzerland and Ireland on a daily basis. We are looking for a colleague who shares our passion and high standards.

Your expertise

• Good understanding of regulatory environment, risk management and compliance approaches with focus on UCITS/AIF.
• Experienced user of MIG, Xentis, MS and relevant market information systems as Bloomberg, Lipper
• Ability to communicate effectively with stakeholders within and outside of the organization.
• Good understanding of fund product, investment management strategies and their use in client portfolios
• Familiarity with other control tools as VBA; SQL is a plus.
• Methodical, concise, and accurate work style, with strong attention to detail and deadlines
• Fluent English and German

About us

UBS is the world’s largest and 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 know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.

Report misconduct: If you are made aware of any of our employees or individuals acting on behalf of UBS engaging in acts of misconduct under the Poland Whistleblowing Act, you may report your concerns through Poland-Whistleblowing@ubs.com