UBS Financial Services Compliance & Operational Risk Control Specialist in Hong Kong, Hong Kong
Do you have sharp analytic skills? Are you great at answering questions and giving advice? We are looking for someone like this to:
review preparation including sourcing relevant data, risk assessment and discussion with stakeholders on review scope
execute routine periodic controls in line with the Global Monitoring Surveillance & Controls Minimum Control Standards framework
engage in any other ad-hoc reviews that arise from Global Functions, Business/Support functions or regulators
mobilise the team to bring forward change and alignment where gaps or discrepancies are identified in the course of carrying out control tasks
liaise with employees, senior management, regulators and major stakeholders as appropriate and necessary
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.
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.
The Monitoring Surveillance & Controls team is part of Compliance & Operational Risk Control and monitors business activities across Wealth Management , Investment Banking and Asset Management. This is in relation to compliance with all applicable laws, regulations and policies including but not restricted to Cross-border Activities, Investment Suitability, Know Your Customer, Conflicts of Interest and Sanctions. The Monitoring Surveillance & Controls Teams are expected to carry out a comprehensive risk based assessment to determine the appropriate control areas and the sampling and review methodology. Where applicable, the assessment should reflect the Global Monitoring Surveillance & Controls Minimum Control Standards, local standards (where applicable), business practices, and regulatory expectations.
Your experience and skills:
6+ years of relevant experience (audit and/or Compliance testing background)
excellent report writing skills and the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority
able to identify problems and seek practical solutions
a great communicator (both written and oral) with strong interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject
pragmatic with the ability to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations
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?
Job Reference #: 168810BR
Business Divisions: Corporate Center
Title: Compliance & Operational Risk Control Specialist
City: Hong Kong
Job Type: Full Time
Country / State: Hong Kong
Function Category: Compliance