Junior Compliance Officer - Equities Junior Compliance Officer - Equities …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 16 Jun 19
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 16 Jun 19
Job Reference # 190862BR
Your role
Are you interested in developing your career in Equities Compliance and Operational Risk Control?
Do you enjoy challenging the status quo and to promote a good compliance culture to ensure market integrity is adhered to?

We are looking for a Junior Compliance Officer to:

– liaise with equities division personnel and functional partners in compliance and operational risk, legal, risk, and IT to provide effective challenge, guidance and advice
– participate in Compliance & Operational Risk coverage for the Cash and Equity Derivatives businesses within the global ICS C&ORC team and participate in various global, regional and cross-product Governance Committees as a representative of the C&ORC organization
– provide subject-matter expertise on rules and regulations pertaining to equity and equity derivative sales and trading activities, in particular electronic trading.
– support in the design and implementation of the Operational Risk Framework
- coordinate response to regulatory enquiries
– develop and deliver compliance training

Your team
You will be part of the Investment Bank business aligned C&ORC team in Hong Kong and work closely with the Investment bank business and other internal functions in Hong Kong

Your expertise
– bachelor's degree or higher in Business/Accountancy/Finance/Law or similar field
– minimum 2 years of experience in the financial service industry
– knowledge of compliance, risk and controls, change and operational risk
– excellent written communication skills and competence in portraying complex content in a clear, concise, and compelling manner
– strong interpersonal and communication skills. Team working skills is essential
– strong business analysis and problem solving skills.

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.