Compliance Expert, Wealth Management recruitment

UBS can offer you an environment geared towards performance, attractive career opportunities, and an open corporate culture that values and rewards the contribution of every individual.

Description:

The Wealth Management Compliance Team seeks a Compliance Expert to provide general advisory and control services to the wealth management activities undertaken by Wealth Management Business in Hong Kong. This role reports to the Compliance Control Head within the Wealth Management Hong Kong Compliance Unit.

Key tasks and responsibilities :

• Assists in the development and enhancement of the Bank's control standards and processes;

• Designs compliance control programs and conducts relating controls in various risk areas including cross border, investment suitability and US persons;

• Assesses regulatory requirements (e.g. HKMA/SFC) to ensure compliance risks are identified, responded and tracked for resolution;

• Identifies compliance risks, analyses processes and systems and advises stakeholders (e.g. Management) on the implementation of improved solution in order to support business and mitigate compliance risks;

• Provides independent and timely advice to business and other functions on all issues relating to day-to-day business and transactions undertaken by clients;

• Acts as an active liaison with head office units and counterparts in other APAC locations, and works closely with relevant stakeholders in the business units and control functions;

• Carries out investigation for the breaches of regulatory and/or internal policy requirements and advises on the appropriate remediation actions;

• Liaises with the internal auditors and regulators in relation to compliance issues;

• Undertakes ad hoc compliance projects as delegate for the Wealth Management Hong Kong Compliance Unit;

• Assists in the development and/or delivery of training programs to Bank employees where necessary

Requirements:

Our ideal candidates should have the following requisites:
 

• Director level with significant (9 years plus) Compliance experience with a financial institution, regulator and/or comparable environment, preferably at least 3 years experience in private bank compliance;

• The candidate should have a university degree and/or professional qualification in Accounting, Law, Finance or Business; have good common sense and an analytical and enquiring mind;

• In-depth and hands-on working knowledge of securities laws and regulations and market practices; prior regulatory/legal work experience an advantage;

• Strong command of spoken and written English;

• Strong communication skills, and ability of dealing with potentially contentious issues;

• A good team player;

• Highly proactive – be looking at ways to improve compliance processes and practices;

• Understand and be able manage projects within the Compliance department and be aware of issues affecting the Compliance Department generally

• Identify problems and seek solutions ;

• Excellent organizational and multitasking skills;

• Strong leadership qualities

It starts with you:

We can offer you an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth. If you are attracted to joining an organization where every individual's contribution counts and where your talent will impact on our future, please apply for this position. It starts with you.

To read more about this opportunity and to submit your application, please click on the Apply for Job button. You will be redirected to the UBS career website where you can submit your CV. All applications will be reviewed and responded to by the UBS recruitment team.

Disclaimer/ Policy Statement: UBS is an equal opportunity employer. We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.