APAC Head of Equities C&ORC

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • UBS AG
  • 22 Oct 17
Hong Kong

City
Hong Kong

Job Type
Full Time

Your role
Are you risk averse but risk aware? Do you specialize in Equities compliance and operational risk?

We are looking for someone to:

– oversee compliance and operational risk across all Equities business lines, with APAC coverage
– ensure risk frameworks are designed well and operating effectively
– manage regulatory relationships including meetings on industry consultation, regulatory changes, product business applications and updates, manage regulatory inspection and audits
– provide business management with controls, tools, training, frameworks, information and insights required to manage compliance and regulatory risk
– participate in global Equities compliance and operational risk initiatives

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
Based in Hong Kong, you will work closely with the IB aligned C&ORC teams, reporting directly to the APAC Head of IB C&ORC. Furthermore, you will work closely with other C&ORC functional teams including Financial Crime, Employee Conduct and MS&C.

You will also provide regional compliance and operational risk support to regional and local management in APAC, including amongst other things regulatory advisory support to regulatory developments, policy initiatives, risk assessments, projects and process improvement, training, drafting and implementation of regional policies and procedures.

Your experience and skills
You will have a good understanding of the compliance and operational risk issues related to the IB businesses, in particular all Equities business lines and markets and the relationships between the activities of these businesses.

You will also have a good appreciation of the core functions carried out by the product Compliance Teams. Knowledge of key regulations affecting Equities businesses in key jurisdictions in APAC and an interest in the development of regulations across APAC jurisdictions. Working with US and EMEA with respect to cross-border regulations relevant to APAC.

• Must have a collaborative approach to achieving goals, ready to take initiatives, actively share information, and be willing to undertake a variety of roles within the compliance and operational risk team as required.

• An ability to build and sustain strong relationships with staff and management and with colleagues in Legal and compliance and operational risk members, locally, regionally and globally.

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.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

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.