Head of Regulatory Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • UBS AG
  • 19 Jan 18
Hong Kong

City
Hong Kong

Job Type
Full Time

Your role
Are you interested in regulatory developments in the financial markets? Are you experienced in leading small teams of Compliance professionals? We're looking for someone like this to:
- lead the Regulatory Compliance Team in Hong Kong and be responsible for identifying regulatory developments
- oversee the implementation of regulatory initiatives across all business lines and functions
- support the Hong Kong Head of Compliance & Operational Risk Control in providing oversight to the compliance program in Hong Kong and maintain a strong relationship with HKMA/SFC
- advise on the regulatory requirements in relation to self-reporting, entity licensing and outsourcing for the Hong Kong entities, and collaborate with internal stakeholders to handle the submission.
- liaise with regulators and handle their enquiries including s181 request for transaction information

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 more than 50 countries. Do you want to be one of us?

Your team
Leading the Regulatory Compliance team of Compliance & Operational Risk Control ("C&ORC") in Hong Kong. Regulatory Compliance reports to the HK Head of C&ORC. We oversee the regulatory compliance matters in HK, and ensure that owners are assigned to new regulatory changes for implementation and the same be tracked.

Your experience and skills
You have:
- 15+ years of experience working in a relevant banking regulatory/compliance field
- strong working knowledge on HKMA/SFC regulatory requirements with extensive experience in the financial industry in either compliance, legal, risk control, internal audit, consultancy firm or a regulator
- excellent communication and leadership skill
- strong organizational and analytical skills

You are:
- capable of working under pressure whilst juggling multiple tasks in a time sensitive environment
- willing to question and take responsibility
- enthusiastic, curious and amiable
- fluent in English and Chinese

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.