Compliance Specialist, Monitoring & Surveillance 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.
This role consists of three primary functions: 1) to undertake day to day monitoring and surveillance activities; 2) to work closely with various stakeholders to develop and enhance monitoring programmes and systems; and 3) to assist in the co-ordination of the overall governance and supervisory framework for cross division monitoring and surveillance.
The role will be based in Hong Kong or Singapore.
Key tasks and responsibilities of this profile include:
- Performing surveillance of the Equities, Exchange Traded Derivatives (ETD) and Fixed Income, Currency and Commodities (FICC) businesses, Control Room monitoring and other monitoring requirements
- Contributing to and implementing strategic department projects including global and regional initiatives run out of Central Compliance requirements
- Investigating and closing out monitoring alerts thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and promptly escalated where necessary
- Working closely with Legal Compliance IT (LCIT) to enhance existing routines and develop new monitoring tools; liaising regularly with LCIT on project progress and prioritizations
- Participating in implementation activities including testing and business integration
- Assisting to produce effective cross-divisional management information reports that inform Regional Management/Global Monitoring and Surveillance function about significant risk issues
- Ensure that all manual monitoring tasks for the APAC region are recorded in the Compliance Monitoring Tool
- Developing relationships with peers in other organizations in order to develop market awareness and build network of compliance professionals
- Act as the APAC lead on IT issues acting as the main interface between SMARTS, UBS and any other relevant stakeholders as circumstances dictates
- Build on the effective relationship between UBS and SMARTS having responsibility for the administration of the relationship including but not limited to: access rights, regional fee review and account management
It should be expected that some travel will be required and that such assignments might be of varying length. Candidates should be in the position to accommodate this requirement.etc
Our ideal candidate should have the following requisites:
- The ideal candidate will have a university degree or equivalent education with at least 4-7 years of Compliance experience within a financial institution, regulatory body and/or comparable environment. Candidates with prior monitoring and surveillance experience will be highly regarded, as would an individual who could demonstrate a good knowledge of the local market and local language skills e.g. Mandarin or Cantonese.
- Good working knowledge of banking and securities laws, regulations, directives and regulatory expectations
- Able to identify problems and seek practical solutions
- Participate in regional/global projects within the Compliance department
- Good communication skills (both written and oral) along with good interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject
- The ability to work effectively with others, be prepared to take a supportive role where required, assist others at short notice and be part of a small close-knit team
- Excellent report writing skills and the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority
- Pragmatism and the ability to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions and providing compelling solutions
- Self-motivation, confidence, an out-going and enthusiastic nature, and the ability to act with tenacity and diplomacy
- Good organisational skills, both personally and within a project management role
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.