Senior Compliance Officer, Alternative & Quantitative Investment 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 Senior Compliance Officer will provide a comprehensive advisory, monitoring and control service for the AQ business in this region, including early involvement with business and product development activities, to enable new products and transactions to meet all regulatory requirements and reflect best practice in the industry. S/he will work closely with the management of the business area to establish and maintain an appropriate compliance culture – acting as the key support to the AQ business.
Key tasks and responsibilities include:
- Supporting the compliance needs of growing trading activities of alternatives business in the region, and managing compliance risks for the single and multi-manager business
- Maintaining up-to-date knowledge of legal/regulatory/corporate environment and awareness of industry and company best practice
- Providing compliance advice including implementing regulatory/legal advice and reviewing documents/agreements/arrangements/processes/procedures to ensure compliance
- Liaising with business and in-house legal specialists in connection with the relevant regulatory aspects of individual transactions, client services and proposed services; early involvement in sensitive transactions to help avoid conflicts of interest
- Participating in reviewing new business initiatives, including new product development, to enable the firm to adhere to all regulatory requirements and best business practices
- Help to develop proactive, risk-based Compliance monitoring programmes, including periodic and regular reviews of business activities
- Assisting with establishment of trading relationships with new counterparties and new jurisdictions
- Developing and maintaining positive working relationships with the legal and compliance team and other departments
- Assisting with regulatory inquiries and litigation
- Conducting monitoring activities related to investment advisory issues
- Preparing memos to line manager for management regarding the outcomes of reviews and investigations and escalate concerns timely
- Preparing/assisting making necessary regulatory filings such as Section 13 filings and Form ADV
- Coordinating with IT on development and testing of new monitoring report
- Participating in ad-hoc projects as assigned
- Monitoring industry, regulatory and firm events and feed these into compliance management
- Providing input on new firm policies and procedures
- Liaising with outside service providers, printers, transfer agents and custodians
Our ideal candidate should have the following requisites:
- More than ten years work experience in finance industry with legal and compliance or securities and banking related background.
- Experience in the alternative investment space is strongly desired.
- Finance, commerce and law degrees are desirable.
- Superior interpersonal and communication skills, both written and verbal.
- Strong organizational skills with the ability to multi-task.
- Ability to work as part of team.
- Ability to work well under pressure and within tight deadlines.
- Ability to be a flexible, proactive, quick-learner and teamwork-oriented
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.