Compliance Manager

  • Competitive
  • Shanghai, Shanghai Shi, China
  • Permanent, Full time
  • UBS AG
  • 15 Jan 18


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 that like to:

• Coordinate regulatory inspections where required
• Monitor changes in regulations and group policies and support gap analysis
• Participate in various local and regional projects
• Provide compliance approvals including AML/KYC and marketing materials if applicable
• 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
• Support compliance and operational risk control activities, including marketing materials review, compliance monitoring and controls and errors

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
We will cover all aspects of general compliance duties aligned to the Asset Management business. We help by acting as the second line of defense our business's oversight, identification and management of consequential risks. This includes analyzing 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 bachelor/master degree in Economics or Finance
– explicit experience in asset management compliance and at least 3 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
- You must have passed the AMAC paper before on boarding

What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We 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.