Compliance and Operational Risk Control Specialist  …

in London, England, United Kingdom
Contract, Full time
Last application, 16 Jun 19
in London, England, United Kingdom
Contract, Full time
Last application, 16 Jun 19
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
    • Training
  • Provide Gifts and Business entertainment sign-off and advice to the business.


The 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 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;


You are:

  • 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.