Compliance Specialist- Investment Trading (Asset Management) Compliance Specialist- Investment Trading (Asset  …

in London, England, United Kingdom
Permanent, Full time
Be the first to apply
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Job Reference #202905BR

Your role

Do you have experience in providing compliance or risk advisory services within asset management? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?

We are looking for someone like this to:

 actively engage with all investment teams within UBS AM and colleagues within EMEA. Global outreach on projects where required to support the business in managing risk;
 perform second-line-of-defense activities in relation to consequential risks;
 ensure risk frameworks are designed well and operating effectively;
 provide business management with controls, tools, training, frameworks , information and insights required to manage risk;
 manage internal restricted lists (insider dealing, wall crossing and sanctions), responding to all advisory queries in relation to such;
 provide compliance advice to the business for investment/trading related matters;
 carry out regulatory reporting (e.g. Short reporting and takeover panel;
 provide advice on as well as conducting KYC / AML reviews;
 carry out ad hoc thematic Monitoring Reviews;
 produce Compliance MI reports for internal use;
 work with central Compliance teams on:
o Approved persons / IAR or SMCR Regimes
o P. A. Dealing
o Training
 provide Gifts and Business entertainment sign-off and advice to the business

Your team

You will be working in the Investment Advisory Compliance and Financial Crime team in London. This team is responsible for advising on regulatory matters; supporting front office, providing compliance oversight; and reviewing key controls. This involves working with all areas of the business and colleagues globally.

Your expertise

 previous experience in risk management, risk control, audit or compliance within Asset Management;
 have an understanding of Asset Management with some technical knowledge of upcoming regulatory issues and of both traditional and alternative asset management products – e.g. Fixed Income, Equities, FX, UCITS, AIFs and or hedge funds;
 have a working knowledge of Financial crime topics e.g. KYC, AML and ABC;
 analytical approach/ attention to detail & ability to provide practical solutions;
 ability to communicate at provide challenge at all levels throughout the Company and the confidence to deal with external bodies (clients, regulators & auditors).
 ability to prioritise work; working on their own initiative and under pressure.

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

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.

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.