UBS Financial Services Investment Bank Compliance - Regulatory Initiatives in Hong Kong, Hong Kong

Your role:

Do you have an understanding of key regulatory developments in APAC? Are you able to turn these developments into tangible deliverables across an organization? We are looking for someone like this to:

• report, track and oversee potential risk, compliance and regulatory issues that may impact the operation of UBS in APAC.

• consider potential issues and ensure they are escalated within C&ORC and appropriate actions are taken to minimise consequential risks.

• attend and contribute at all relevant Working Group meetings for regulatory initiatives globally and regionally.

• attend relevant industry body forums.

• analyse regulatory consultation papers and new laws / regulations and conduct gap analysis.

• plan and manage implementation of changes to the compliance and risk frameworks

• provide regular milestone reporting to local, regional and global committees and forums

• work as part of the IB Regulatory Initiatives team, which may include supporting colleagues on global derivatives and market infrastructure change programs, as well as other ad hoc activities that arise within the team.

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.

Your team:

C&ORC is responsible for providing independent oversight and control over the consequential risks arising from UBS’s business activities at a global, regional, divisional and entity level. The candidate will be a member of the Investment Banking Aligned Compliance & Operational Risk Control (C&ORC) team based in Hong Kong.

The candidate will help to coordinate the C&ORC coverage responsibility for the implementation of Group Strategic Regulatory Initiatives for the IB business in the Asia Pacific region

Your experience and skills:

You have:

  • extensive regulatory and related industry experience 8 years+ as a minimum. Ideally this will include significant experience of the Equities and/or Foreign Exchange, Rates and Credit businesses and understanding of the key challenges and developments of the global regulatory environment.

  • clear understanding of the regulatory environment in APAC for financial services organisations, in particular for Investment Banking, Wealth and Asset Management

  • an interest in regulatory developments and know how to turn them into tangible actions and deliverables for the Business Aligned Compliance teams

You are:

  • able to focus the team on each of the control, monitoring, education and advisory aspects of the Compliance role

  • able to self-balance between self-sufficiency and timely escalation of issues as required

  • able to \"think on your feet\", take decisions on a timely basis and frequently in pressured situations and a thorough understanding of compliance and business risks


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 colleagues:

Job Reference #: 176405BR

Business Divisions: Corporate Center

Title: Investment Bank Compliance - Regulatory Initiatives

City: Hong Kong

Job Type: Full Time

Country / State: Hong Kong

Function Category: Compliance