Employee Conflicts of Interest Compliance Officer

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

Hong Kong

Job Type
Full Time

Your role
Do you have good judgment? Are you a strong communicator? We're looking for talented people to join our Employee Conflicts of Interest Team to:

– support the delivery of key processes such as Personal Account Dealing (PAD), Affirmations (AOL), External Directorships & Positions (EDP), and Training functions in line with the relevant Standard Operating Procedures. This includes liaising closely with key Employee Conduct stakeholders, C&ORC, the business and other control functions.
– identify and escalating potential issues to relevant stakeholders in a timely and accurate manner.
– critically review processes to reduce operational risk and improve process efficiency.
– coordinate the production of monthly APAC Employee Conduct Management Information reports which are used to provide relevant information to internal and external stakeholders.
– coordinate, compile and provide analysis of Key Performance Control (KPC) reports. KPC reports provide a review of the processes and controls for each function.
– provide regional governance support to the management of offshore Employee Conduct functions

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
The Employee Conflicts of Interest team forms part of the Global Compliance & Operational Risk Control function. The team is responsible for identifying and managing conflicts relating to staff which include Personal Account Dealing (PAD), Affirmations (AOL), External Directorship & Positions (EDP) and Training. The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Corporate Center Businesses.

Your experience and skills
You have:
– a strong experience in process management
– a process oriented mindset with a strong attention to detail
– experience in an environment where no two cases are the same

You are:
– a great communicator, you know how to speak with people at all levels of the organization
– an expert at building networks and connections
– a team player
– known for meeting deadlines
– able to stand your ground and responsibly challenge differing opinions

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.