GWM Compliance Officer

2 months ago

Hong Kong, Hong Kong SAR China UBS Full time
Your role
Are you risk averse but risk aware?
Do specialize in Wealth Management Compliance & Operational Risk?

We are looking for a Compliance Officer to:

• Support new business initiatives, product offering, advisory services and complex transactions for GWM Greater China
• Provide independent and timely advice to business and other control functions on compliance requirements, operational risk incidents and client transactions
• Prepare risk dashboards to monitor compliance risks and track their resolution
• Analyze business proposals and control framework to mitigate compliance and operational risk
• Review policies and procedures to ensure they are properly revised and updated as necessary

Your team
You'll be working in the Global Wealth Management Compliance & Operational Risk Control (C&ORC) team in Hong Kong reporting directly to Head of Wealth Management Compliance & Operational Risk Control for Greater China.

Our role is to a high quality and professional compliance services in support of the UBS Global Wealth Management (GWM) business activities in Greater China

Your expertise
• at least 6 years in a relevant compliance/regulatory environment
• sound know-how of the private wealth management business and products
• good communication and interpersonal skills, and have the ability to think out of the box
• able to critically, assess and challenge documentation with an independent mindset
• reliable, resilient and capable of independently dealing with business desk heads and key stakeholders (stand firm in challenging situations and conversations')
• fluent in English and Mandarin

About us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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