Compliance Officer - Global Markets

Your role

In your role, you’ll:
• Support day to day Global Markets business activities within UBS Investment Bank in Japan
• Comprehensively cover Global Markets Sales & Trading and work closely with COO
• Help ensure that Global Markets employees meet UBS’s global standards and Japan’s regulatory requirements in both Market Conduct and Employee Conduct
• Provide guidance on regulatory requirements and internal policies
• Liaise with Front Office and senior management to deliver effective challenge and advice
• Assist in conducting compliance risk assessments and thematic reviews, while watching regulatory changes
• Participate in regulatory inquiries and support interactions with the Financial Services Agency and other regulators
• Contribute to drafting and maintaining policies and procedures relevant to the Japan Global Markets business
• Support the delivery of compliance training tailored to local business needs
• Collaborate with global and regional compliance teams to ensure consistent standards and practices
• Work closely with various compliance teams globally and locally —including Central Compliance, Control Room, Monitoring, Financial Crime Prevention, and Employee Conflict of Interest—to ensure a coordinated and integrated approach to compliance, avoiding silos, meeting the business’s expectations, and achieving shared goals effectively
This is a great opportunity for a junior professional to join a dynamic team and develop expertise in compliance. If you are an entrance level applicant, no worries, you will receive support from senior colleagues seating next to you.

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. And we use artificial intelligence (AI) to work smarter and more efficiently. 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.

Your team

You will be part of the Business Aligned Compliance & Operational Risk Control (C&ORC) team in Japan, supporting the UBS Investment Bank. Our team is embedded within the Governance Compliance Regulatory Group (GCRG), which is responsible for safeguarding UBS’s reputation and supporting sustainable growth through proactive risk management.
As part of the second line of defense, we provide independent oversight and challenge of compliance, conduct, and operational risks. We work closely with business and control functions to ensure risks are understood, owned, and managed in line with UBS’s risk appetite.

Your expertise

• Bachelor’s degree or higher in Law is preferred, Business, Finance, or a related field
• Prior experience in a compliance, legal, risk control, or audit function is preferred but not required
• Strong interest in financial regulations and risk management
• Ability to learn quickly and provide practical support to the business
• Excellent communication and interpersonal skills, with the ability to work effectively across teams and cultures
• Strong mental resilience and the ability to remain composed and effective under pressure
• Willingness to actively listen to and understand differing viewpoints, even when they conflict with your own, in order to foster constructive dialogue and sound decision-making
• Fluent in Japanese and English
• Proactive, reliable, and eager to grow in a fast-paced environment
• Able to work in a fast paced and dynamic environment, leveraging data analytics and technological capabilities

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.