Your role
Are you risk averse but risk aware?
Do specialize in Wealth Management Compliance Advisory?
We are looking for a Senior Compliance Officer to:
• Support GWM new business initiatives, product offering, advisory services and complex transactions
• Provide independent and timely advice to business and other control functions on regulatory and operational risk on product compliance, operational risk incidents and client transactions
• Assesses regulatory requirements (eg HKMA/SFC) to ensure compliance risks are identified, reported and track their resolution analyse business proposals and control framework; advise stakeholders on the implementation of improved solutions that support business and mitigate
compliance and operational risk
• Liaise with internal auditors and regulators on various requests in relation to compliance issues
• Draft and deliver face to face training with our business
• Review manuals and compliance notices to ensure they are properly revised or updated when necessary
• Provide guidance to junior staff within the team on day to day Compliance matters
Your team
You'll be working in the Wealth Management Hong Kong Compliance & Operational Risk Control (C&ORC) team in Hong Kong reporting directly to the Hong Kong Head of Wealth Management Compliance & Operational Risk Control. Our role is to a high quality and professional compliance services in support of the UBS Wealth Management (WM) business activities. This role will cover all aspects of general compliance duties aligned to WM business with focus on products and business initiatives. We help, for example, by reviewing marketing materials, keeping the business up to date on regulatory requirements and assessing the suitability of the investment products being proposed to our clients.
Your expertise
• at least 10 years in a relevant compliance/regulatory environment
• sound know-how of the private wealth management business and products and the applicable HKMA / SFC rules and regulations.
• good communication and interpersonal skills, and have the ability to think out of the box
• able to critically, assess and challenge documentation with an independent mindset
• reliable, resilient and capable of independently dealing with business desk heads and key stakeholders (challenging situations and conversations don't scare you)
• fluent in English and Chinese
*#LI-HK
*EFC-UBS
About us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?