Compliance Manager-Asset Management



Job Type
Full Time

Your role
Are you risk averse but risk aware? Do you specialize in Asset Management Compliance Advisory? We are looking for someone like that to:
• Handle interaction with AMAC and any other local regulators where required
• Perform licensing, compliance monitoring and regulatory reporting and coordinate regulatory inspections
• Provide compliance approvals including AML/KYC and marketing materials if applicable
• Participate in Risk/Management Committee and assess risk and internal control issues
• Provide independent risk assessments from C&ORC perspective on new product /business initiatives and/or change of business processes
• Foster compliance and risk management culture through staff training
• Ensure a proper escalation process is put in place by business in dealing with clients' complaints

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 report directly to our APAC Regional Compliance and Operational Risk Control for Asset Management working on regional compliance matters. As our APAC Team sits in Hong Kong you will also act as an escalation point for the local team in Shanghai. Our role is to cover all aspects of general compliance duties aligned to the Asset 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:
– a degree
– explicit experience in asset management compliance and at least 5 years of relevant working experience
– ideally, experience of working on an Asset management and familiar with Global firm platform and operations

You are:
– Good attitude and willing to learn
– a good team player and have good collaboration and communication skill with different stake holders
– able to demonstrating an ability to think outside of the box.
– reliable and resilient (challenging situations and conversations don't scare you)
– a strong communicator who is fluent in English and Mandarin

What we offer
Together. That's how we do things. We offer talented people around the world a supportive, stimulating and diverse working environment. We'll value your passion and commitment. And reward your performance.

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.