Fixed Income Compliance Officer Fixed Income Compliance Officer …

in Hong Kong
Permanent, Full time
Be the first to apply
in Hong Kong
Permanent, Full time
Be the first to apply
Job Reference #217126BR
Your team
This role will focus on the Rates and Credit business with opportunity to cover all aspects of general compliance duties aligned to Global Markets business.
You'll be working in the Global Markets Compliance & Operational Risk Control (C&ORC) team in Hong Kong reporting directly to the Regional head of Derivatives and Solutions Compliance & Operational Risk Control; our role is to provide high quality and professional compliance services in support of the UBS IB Global Markets business activities.

We help, for example, by reviewing and approving complex transactions, reviewing sales and trading commentary, client specific requests, handling regulatory investigations into the Global Markets business. We keep the business up to date on regulatory and internal UBS requirements and assist in the assessment of the suitability of the investment products being proposed to our clients.

Your expertise
• at least 6 years in a relevant compliance/regulatory environment
• sound know-how of the Investment Bank and Global Markets business and products, this includes Fixed Income and Futures products
• sound understanding of applicable Hong Kong rules and regulations. It would be beneficial to have an understanding of FINMA and MiFID II Regulations given that UBS is a Swiss bank and has a large footprint in Europe
• good communication and interpersonal skills
• have the 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 scare you)
• 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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