Regulatory Affairs Officer

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • UBS AG
  • 22 Sep 17
Hong Kong

Hong Kong

Job Type
Full Time

Your role
Are you interested in regulatory developments in the global financial markets? Are you someone with prior compliance, risk or audit experience within the banking industry?

We're looking for someone like that to -

- work as part of the UBS Regulatory Affairs team, helping the firm develop a strategic view of regulatory developments including key change initiatives, ensuring a consistent approach to ongoing supervisory relations and providing senior management a key advisory service in their regulatory engagements.
- managing ad hoc regulatory requests and regular regulatory submissions
- provide initial analysis of the regulatory requests and then disseminating to relevant functions and subject matter experts in a timely fashion to ensure follow-up
- coordinate and supporting the completion of regulatory notifications, surveys, questionnaires, self-assessment and ad hoc information requests.
- manage a tracker of regulatory communication and organising record keeping of all regulatory correspondences
- support the coordination and management of Regulatory Inspections
- disseminate consultation type related circulars from Regulators or the HKAB to the relevant functions timely for their review and comments
- reach out to internal stakeholders across the APAC region to obtain updates or specific information where appropriate.
- prepare submissions for regional and global reporting based on the designated templates
-provide underlying information required for senior management briefing notes and helping produce the final notes

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 almost 900 offices and more than 50 countries. Do you want to be one of us?

Your team
Regulatory Affairs is a key unit in the broader Group Regulatory and Governance function that helps UBS address key regulatory and governance activities globally.

Regulatory Affairs in APAC is based in Hong Kong which is a key regulatory jurisdiction for UBS. The HK team works closely with colleagues in other key locations of Switzerland, UK, EMEA and the United States so as to manage the Firm's regulatory relationships in a consistent and efficient manner.

Regulatory Affairs in Hong Kong consists of one team head with two team members, who have responsibility for managing the regulatory affairs for the Country Head of UBS. Additionally the team also has growing regional responsibilities and supports regional senior management in their interactions with the regulators across APAC and looks to provide targeted advice on key supervisory trends and issues across the region.

The team also ensures that Group related matters that arise in APAC are managed appropriately and provide a link between APAC and UBS's home jurisdiction, Switzerland.

Your experience and skills
You have:
- experience in the banking industry in either compliance, risk control or an internal audit department, consultancy firm or a regulator
- strong organisational skills and Microsoft Office skills (Word, Excel and Power Point)
- excellent communication skills, with ability to discuss and explain requirements across a multitude of Businesses and Functions in a diverse organization

You are:
- capable of working under pressure whilst juggling multiple tasks in a time sensitive environment
- willing to question and take responsibility
- enthusiastic, curious and amiable

What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Take the next step
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.