Senior Officer, Compliance & Operational Risk Control GWM

KEY RESPONSIBILITIES

• Provide high quality C&ORC advice to Business and Support functions on applicable internal policies, laws and regulations
• Provide C&ORC reviews / sign-offs / approvals where processes require
• Provide high level analysis on changes to regulations and provide support to the Business on implementation
• Be responsible for ongoing review and update of Compliance Manual and other relevant local policies/procedures
• Carry out any ad-hoc reviews that arise from Global Functions, Business / Support functions, regulators or when required
• Participate in ad-hoc projects as the C&ORC representative
• Perform ad hoc investigations into matters or issues that are escalated to C&ORC
• Design and delivery of compliance training and / or materials – including induction and quarterly black belt trainings.

THE TEAM

This role fits within the Global Wealth Management Compliance & Operational Risk Control (C&ORC) function. The C&ORC team forms part of the Asia Pacific team ultimately reporting to the Regional Head of C&ORC.

YOUR SKILLS AND EXPERIENCE

You have

• More than 8 years of relevant experience either within a Legal, Compliance, regulatory or audit function pertaining to Wealth Management
• Working knowledge of banking and securities laws, regulations, directives and expectations
• Knowledge of WM products and service offering
• Strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively
• Extensive team & people management experience

You are

• Proficient in Microsoft Office including powerpoint, excel and word
• Self-motivated, confident, and out-going and enthusiastic in nature, with the ability to act with tenacity and diplomacy
• Pragmatic with the ability to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations to arrive at a sound judgment or decision and providing compelling solutions
• Able to prioritize effectively, identify problems and seek practical solutions
• You’re curious to explore how AI can improve how we build, deliver and optimize workflows. You do this with sound judgment - validating outputs and aligning with policies, risk standards and ethical use

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.

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.

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.