Senior Compliance Officer, Group Strategic Regulatory Initiatives

Hong Kong

Hong Kong

Job Type
Full Time

Your role
Do you have an understanding of key regulatory developments in APAC? Are you able to turn these developments into tangible deliverables across an organization? We are looking for someone like this to:

- assist in the management of the C&ORC MiFID II programme input, including leading C&ORC Working Group and steering committee discussions

- report, track and oversee potential risk, compliance and regulatory issues that may impact the operation of UBS in the region

- consider potential issues and ensure they are escalated within C&ORC and appropriate actions are taken to minimise consequential risks

- attend and contribute at all relevant working group meetings for regulatory initiatives globally and regionally

- work as part of the IB Regulatory Initiatives team, which may include supporting colleagues on global derivatives and market infrastructure change programs, as well as other ad hoc activities that arise within the team.

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
C&ORC is responsible for providing independent oversight and control over the consequential risks arising from UBS's business activities at a global, regional, divisional and entity level. The candidate will be a member of the Compliance & Operational Risk Control (C&ORC) team based in Hong Kong.

In this role, you will help us to coordinate the C&ORC coverage responsibility for the implementation of Group Strategic Regulatory Initiatives for the Asia Pacific region, including as an initial primary focus, the implementation of MIFID II.

Your experience and skills
You have:

- extensive regulatory and related industry experience 8 years+ as a minimum. Ideally this will include significant experience of the Equities and/or Foreign Exchange, Rates and Credit businesses and understanding of the key challenges and developments of the global regulatory environment.

- clear understanding of the regulatory environment in APAC for financial services organisations, in particular for Investment Banking, Wealth and Asset Management

- an interest in regulatory developments and know how to turn them into tangible actions and deliverables for the Business Aligned Compliance teams

You are:

- able to focus the team on each of the control, monitoring, education and advisory aspects of the Compliance role

- able to self-balance between self-sufficiency and timely escalation of issues as required

- able to "think on your feet", take decisions on a timely basis and frequently in pressured situations and a thorough understanding of compliance and business risks

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.