Junior Markets Compliance Officer

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • UBS AG
  • 22 Oct 18

Junior Markets Compliance Officer

Your role
Are you risk averse but risk aware? Do specialize in Equities Compliance Advisory? We are looking for someone like that to:
•provide high quality Compliance and Operational Risk Control (C&ORC) advice to the Investor Client Service business lines in Hong Kong (in particular Cash Equities and Fixed Income, Rates and Credit) on applicable policies, laws and regulations,.
•participate in global Equities compliance initiatives such as new policies, risk assessments and audit closures.
•draft and deliver face to face compliance 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
•participate in ad-hoc projects as the C&ORC representative
•perform ad hoc investigations into matters or issues that are escalated to C&ORC
•responding to ad-hoc requests for information from the HKEX.

Your team
You'll be working in the Equities Compliance and Operational Risk Control (C&ORC) team in Hong Kong. The team reports to the APAC Head of Equities Compliance. We are a team who partner effectively with the business to manage regulatory risk in an environment of collaboration and constructive challenge.

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.

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?