Compliance Officer – Singapore Licensing & Registration

  • Competitive
  • Singapore
  • Permanent, Full time
  • UBS AG
  • 2018-06-17


Job Type
Full Time

Your role
Do you have experience in Licensing & Registrations and have good knowledge of the Regulatory requirements? Do you have good judgment aligned with an ability to lead a team? We're looking for someone like that to:

- be responsible for the Licensing & Registrations for Singapore
- provide advice on licensing related matters to various stakeholders within the Bank including front office business, product compliance, etc.
- make sure regulatory requirements and requests are dealt with in a disciplined, timely and efficient manner
- stay up to date on regulatory requirements and trends
- check that material issues are escalated to the relevant control functions and that reputation concerns are escalated to senior management
- liaise and discuss with business on senior licensing & regulatory appointments
- oversee the licensing team based offshore
- support the APAC Licensing and Registration Head on other Employee Conduct matters

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
The Employee Conduct Team in UBS is part of the Global Compliance & Operational Risk Control function. This team is responsible for Employee Conduct related matters which includes Licensing & Registration, 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 university degree in finance, economics, business administration or numerical discipline
- at least 4 years of experience in the financial services/regulatory industry, with regulatory knowledge on the licensing regime
- excellent analytical skills on cases and interpretation skills on guidelines/regulations.
- excellent problem solving skills and the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority.

You are:
- able to identify problems/risks areas and seek practical solutions.
- able to form your own views/judgments with supporting analysis.
- able to balance commercial objectives with legal, regulatory to arrive at sound judgments and decisions.
- self-motivated, confident, and out-going with the ability to act with tenacity and diplomacy.

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.
Singapore Singapore Singapore SG