Compliance Monitoring, Surveillance and Controls Specialist Compliance Monitoring, Surveillance and Controls  …

in London, United Kingdom
Permanent, Full time
Last application, 21 Oct 20
in London, United Kingdom
Permanent, Full time
Last application, 21 Oct 20
Job Reference #219557BR
Your team
You'll be working in the Client Related Business Conduct team (CRBC) which is a part of the UK Monitoring, Surveillance & Control (MS&C) team in London. We form part of the Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of WM, AM and IB UK business activity to ensure adherence to a number of key taxonomies (Suitability, Cross Border, Market Conduct, Conflicts of Interest) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS's reputation against legal and regulatory risks. The team has close and continuous collaboration with the WM, AM and IB business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.

Your expertise
You have:
• a good understanding or working knowledge of Wealth Management, Asset Management and/or Investment Banking business processes and associated risks.
• Current experience of working in the WM, AM or IB business, compliance monitoring, risk management, risk control or audit, an understanding of the regulatory environment and expectations and FCA rules and guidance together with other relevant regulations and codes of practice.
• Have a pragmatic approach

You are:
• analytical, with the ability to provide practical and realistic solutions for minimizing risk
result-oriented and assertive (you don't shy away from challenging situations).
• able to convey information clearly, accurately and succinctly.
• able to show determination, effort and enthusiasm to deliver results within challenging timeframes.
• a team player and are capable of leading by example.

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?

Join us
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Company Overview

UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland.
We're a team of more than 66,000 colleagues, collaborating across all major financial centers in 50 countries. We strive for excellence in everything we do, and this has awarded us recognition across our businesses. We offer a collaborative, international and diverse working environment that rewards passion, commitment and success – and are regularly recognized as an attractive employer.

Together for the goals
#TOGETHERBAND raises awareness about the 17 United Nations Sustainable Development Goals for 2030 through 17 uniquely colored bracelets. Each pack contains two individually packaged bands: one to wear and one to share so you can spread the word about what goal matters most to you and give someone else the opportunity to do the same. The production and money raised from the sales of these bands will help fight injustices such as poverty and gender inequality as well as climate change and unfair labor.

Right now, #TOGETHERBAND is helping to support emergency COVID-19 relief. For the month of April, our partners at #TOGETHERBAND have created TOGETHER FUND to help fight the pandemic and provide aid to those who need it most.

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