Senior Wealth Management Compliance Officer

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • UBS AG
  • 16 Dec 17
Hong Kong

City
Hong Kong

Job Type
Full Time

Your role
Do you specialize in Wealth Management Compliance Advisory? Are you experienced in leading/driving strong performing teams? We are looking for someone like that to:
- Be senior leader for the WM Compliance and Operational Risk Control (C&ORC) Team in Hong Kong and report to the WM Head of C&ORC Greater China.
- provide independent and timely advice to business and other functions on all issues including investment suitability and products, cross-border, new business initiatives and transactions undertaken by clients
- assesses regulatory developments and requirements (e.g. HKMA) and work with front line to ensure compliance risks are identified, reported and tracked for resolution
- acting as second line of defence to WM HK business's oversight , identification and management of consequential risks including analysing control framework, processes and systems, providing constructive challenges on design and operating effectiveness of controls; and advises stakeholders for the implementation of improved solutions that support business sustainable growth whilst mitigating compliance risk
- liaises with internal/external auditors and regulators on reviews and inspections, and coordinate these with all relevant stakeholders
- delivers and facilitates training courses and seminars according to agreed quality standards

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
You'll be a senior team member in the Wealth Management C&ORC function in Hong Kong. Our role is to cover all aspects of general compliance duties aligned to the Wealth Management business. We help by acting as the second line of defence, our business's oversight, identification and management of consequential risks. This includes analysing control frameworks, processes and systems, providing constructive challenges on design and operating effectiveness of controls; and advising stakeholders for the implementation of improved solutions that support business sustainable growth whilst mitigating compliance risk.

Your experience and skills
You have:
- at least 15 years of financial services industry experience gained in a compliance, regulatory, audit (internal or external) and/or banking environment.
- good knowledge of private wealth management business and the applicable HK rules and regulations.
- good common sense, good interpersonal skills and ability to think out of the box

You are:
- a good team player and but also a strong leader of successful teams
– able to critically verify aspects of marketing materials and challenge documentation with an independent mindset
– well connected in the industry
– reliable and resilient (challenging situations and conversations don't scare you)

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.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

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.