Compliance Regulatory Review & Monitoring Specialist recruitment
UBS is a leading global financial services firm. Global Wealth Management is one of the top private client businesses in the world. We provide a comprehensive array of customised banking and securities services to our clients around the world. By combining your talent with our strength, we can achieve great results.
An exciting opportunity has arisen to join the UBS Wealth Management Compliance Monitoring team.
The role offers the successful candidate the opportunity to work within a specialist team focussed on:
- Pro-actively contributing to the assessment of business risks and leveraging management information to identify key business risks and emerging trends;
- Conducting comprehensive Compliance regulatory reviews and monitoring activities to provide management assurance that the business control framework is aligned to regulatory requirements, in line with the companies risk appetite and is operationally effective;
- Identifying new ways to leverage management information to help identify business risks and implement enhanced monitoring routines
- Reporting findings to senior management, with recommend actions to address the deficiencies; and
- Promoting the benefits of "good compliance" and supporting management in developing the business in an innovative manner whilst adding value by suggesting business practice improvements.
Personal Profile:
The ideal candidate:
- Conveys information clearly, accurately and succinctly. Has credibility and impact; uses a range of effective interpersonal skills to persuade others to adopt a particular position and/or take action.
- Is committed to continuous personal development. Remains abreast of compliance and business developments.
- Has the determination, effort and enthusiasm to deliver results within challenging timeframes. Takes the initiative, originates action and keeps things moving
- Selects and uses relevant information to make sound and balanced judgments. Evaluates the risks of alternative options and makes confident decisions in the face of uncertainty or incomplete knowledge.
- Is personally well organized and keeps focused on priorities in own and others' work. Develops and monitors clear and realistic action plans to accomplish given objectives using given resources.
- Identifies and examines problems in order to understand them, generates options and recommends solutions which are logical, reasonable and realistic.
- Strives to enhance processes and procedures, and to improve quality and efficiency. Additionally, collates and captures organizational knowledge for the benefit of themselves and others.
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.
July 5, 2012
• Tags: Compliance, Compliance Regulatory Review & Monitoring Specialist recruitment, Legal careers in the UK • Posted in: Financial