Your role as a Generalist ; * 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.
Core Daily Tasks
- 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;
- Attend to various client and third party information / due diligence requests;
- Carry out ad hoc thematic Monitoring Reviews;
- Produce Compliance MI reports for internal use;
- Work with central Compliance teams on:
- Approved persons / IAR or SMCR Regimes
- P. A. Dealing
- Provide Gifts and Business entertainment sign-off and advice to the business.
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 experience and skills
Ideally you will:
- have a minimum of 4 years' 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;
- Have an 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.
This is a contract role via Hays Talent Solutions.