UBS Financial Services Compliance Officer - Employee Licensing in Hong Kong, Hong Kong

Your role:

Do you have good judgment and are you a strong communicator? Can you work independently and also as part of a team? We're looking for talented people to join our Employee Conduct team to:

– Handle licensing related matters for SFC and HKMA individuals including applications, notifications and other regulatory reporting.

– Assist in monitoring HKMA Managers and Manager-In-Charge movement and submission.

– Provide advice to business on licensing needs and local regulatory requirements.

– Perform periodic exercises and reviews on fitness and properness of SFC and HKMA individuals.

– Perform self-assessments, inspection and investigation and handle enquiries from regulatory authorities.

– Deliver compliance training and perform CPT assessment.

– Provide assistance to the team on ad hoc projects and other tasks.

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.

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.

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.

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:

  • 1-2 years of relevant experience, prior regulatory experience is an advantage.

  • excellent analytical skills on cases and interpretation skills on guidelines/regulations.

  • the ability to work independently and also as part of the team to provide support.

  • 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.

  • 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.

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 almost 900 offices and more than 50 countries. Do you want to be one of us?

Job Reference #: 154449BR

Business Divisions: Corporate Center

Title: Compliance Officer - Employee Licensing

City: Hong Kong

Job Type: Full Time

Country / State: Hong Kong

Function Category: Compliance