Equities Business Aligned Compliance Officer
- Permanent, Full time
- UBS AG
- 21 Oct 17
Are you risk averse but commercially aware? Are you looking for a generalist Compliance and Operational Risk (C&ORC) role that will give you exposure to the large range of asset classes and a range of stakeholders at all levels of the organization?
We are looking for someone like that to:
- ensure relevant compliance and operational risk frameworks, taxonomies, applicable laws and regulations and best practice standards are actively and appropriately managed and complied with by the Singapore Equities and CCS businesses.
- work with the broader APAC Equities C&ORC team to provide the Singapore Equities and CCS(IBD) Businesses with controls, tools, training, frameworks, information and insight required to perform their risk management and supervisory responsibilities.
- proactively drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the Singapore Equities & CCS businesses
- lead event reviews and root cause analyses on internal compliance and operational risk events
- ensure adherence to MAS and SGX regulation, guidelines and policies as well as regulatory developments in other jurisdictions across APAC as well as globally relevant regulations that impact the Equities & CCS businesses
- help disseminate relevant rules, procedures and controls and developing and delivering compliance and operational risk training programs.
- participate in reviewing new business initiatives and transactions requiring pre-approval
- close liaison with counterparts in the other APAC hubs and offices
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?
You will be supporting the Equities and CCS Lead for Business-Aligned Compliance and Operational Risk Control (C&ORC) in Singapore. We are a team who partner effectively with the business to manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded and to develop risk mitigating measures and controls and to have adequate remediation plans in place to address these risks.
Your experience and skills
- a degree in a business, finance or legal discipline, or Compliance and Operational Risk specific training or qualifications
- a minimum of 3 year's experience in risk management, risk control, audit, compliance or operational risk
- sound know-how in the analysis of business processes
and a strong understanding of equities products
- good working knowledge of the MAS and SGX rules and regulations pertaining to that of a broker dealer
- able to critically verify aspects of the commercial and operational arrangements within the business and challenge practices and documentation with an independent mindset
- a team player
- the type of person who looks for solutions and has strong intellectual curiosity
- fluent in written and spoken professional English, (additional languages a plus of course)
- reliable and resilient
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.