Senior Compliance Officer
Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:
• Support Equity business (equity brokerage, research, derivatives) compliance matters on a daily basis (including compliance advice, review, monitoring, investigation and etc.)
• Provide compliance support to Equity business on innovations and new business/product including equity swap, margin trading and securities lending, future index and etc. including keeping track on legal and regulatory development, review of innovative product plans, attending internal and external discussion
• Review and improve Equity business related compliance policies, business procedures and control process
• Provide compliance support in other non-business areas, including governance, internal control, human resources and etc
• Provide compliance training to Business
• Keep good communication channels with regulators and exchanges and assist business in regulatory communications/interactions
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?
You will be working in UBSS Shanghai with our compliance department. We provide compliance support to UBS Businesses and the team you will work in will be mainly cover Equities business.
Your experience and skills
• Minimum 7 years first tier legal firms working experience (focus on capital market or financial industry)，legal，compliance or relevant working experience in first tier securities firms or other financial institutions or equivalent regulatory working experience
• Holding Chinese lawyer qualification or passed Judicial Qualification Exam
• Graduated from domestic or overseas first tier law school
• analytic, with the ability to provide practical solutions for minimizing risk
• result-oriented and assertive (you don't shy away from challenging situations)
• fluent in English
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.