Equities Compliance Advisor - HONG KONG

  • Market Rate
  • London, England, United Kingdom
  • Permanent, Full time
  • UBS
  • 27 Sep 16

UBS is looking for an experienced equities compliance advisor to be based in HONG KONG, not London.

Are you risk averse but risk aware? Do specialize in Equities Compliance Advisory? We are looking for someone like that to:
•provide Compliance advice across all Equities business lines in Hong Kong with an APAC coverage.
•support critical regulatory initiatives such as HK OTC reporting, HK Professional Investors and/or any key remediation projects.
•participate in global Equities compliance initiatives such as new policies, risk assessments and audit closures.
•draft and deliver face to face training with our business
•review manuals and compliance notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes

You’ll be working in the Equities Compliance team in Hong Kong reporting directly to the APAC Head of Equities Compliance. Our role is to provide advice to and support the various different Equities business lines Asia. We help, for example, by reviewing marketing materials, keeping the business up to date on regulatory requirements and assessing the suitability of the investment products being proposed to our clients.

You have:
•a degree
•at least 5 years in a relevant compliance environment
•sound know-how in the analysis of equities business processes, explicit knowledge of cash equities and electronic trading would be advantageous

You are:
•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 (challenging situations and conversations don’t scare you)
•fluent in English