Compliance Officer - Global Markets Compliance Officer - Global Markets …

in Hong Kong
Permanent, Full time
Last application, 05 May 21
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Job Reference #227913BR
Your team
You'll be working in the Global Markets Compliance &
Operational Risk Control (C&ORC) team in Hong Kong based across the Global Markets trading floors, with additional engagement with Global Markets Compliance teams across APAC. You will be reporting directly to the Head of Derivatives & Solutions CORC, Global Markets in Hong Kong.
We support the Hong Kong Global Markets business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our role is to provide high quality and professional compliance services in support of the Hong Kong Global Markets business activities. This role will cover all aspects of general compliance duties aligned to Global Markets business.

Your expertise
• Ideally 6 years in a relevant compliance/regulatory environment
• Sound know-how of the Investment Bank and Global Markets business and products, with focus on Equity Derivatives and Structured Products and including Fixed Income Products, such as Credit and FX
• Sound understanding of applicable HKMA and SFC rules and regulations. It would also be beneficial to understand FINMA and MiFID Regulations
• Strong relationship building, communication, interpersonal skills, and analytical skills
• Ability to think out of the box and challenge the status quo to ensure that there is always room for improvement
• 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 sway you away)
• Fluent in English

About us
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?

Join us
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Company Overview

UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland.
We're a team of more than 66,000 colleagues, collaborating across all major financial centers in 50 countries. We strive for excellence in everything we do, and this has awarded us recognition across our businesses. We offer a collaborative, international and diverse working environment that rewards passion, commitment and success – and are regularly recognized as an attractive employer.

Together for the goals
#TOGETHERBAND raises awareness about the 17 United Nations Sustainable Development Goals for 2030 through 17 uniquely colored bracelets. Each pack contains two individually packaged bands: one to wear and one to share so you can spread the word about what goal matters most to you and give someone else the opportunity to do the same. The production and money raised from the sales of these bands will help fight injustices such as poverty and gender inequality as well as climate change and unfair labor.

Right now, #TOGETHERBAND is helping to support emergency COVID-19 relief. For the month of April, our partners at #TOGETHERBAND have created TOGETHER FUND to help fight the pandemic and provide aid to those who need it most.

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