UBS Financial Services Compliance Officer – Singapore Licensing & Registration in Singapore, Singapore
Do you have experience in Licensing & Registrations and have good knowledge of the Regulatory requirements? Do you have good judgment aligned with an ability to lead a team? We're looking for someone like that to:
be responsible for the Licensing & Registrations for Singapore
provide advice on licensing related matters to various stakeholders within the Bank including front office business, product compliance, etc.
make sure regulatory requirements and requests are dealt with in a disciplined, timely and efficient manner
stay up to date on regulatory requirements and trends
check that material issues are escalated to the relevant control functions and that reputation concerns are escalated to senior management
liaise and discuss with business on senior licensing & regulatory appointments
oversee the licensing team based offshore
support the APAC Licensing and Registration Head on other Employee Conduct matters
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 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:
a university degree in finance, economics, business administration or numerical discipline
at least 4 years of experience in the financial services/regulatory industry, with regulatory knowledge on the licensing regime
excellent analytical skills on cases and interpretation skills on guidelines/regulations.
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.
able to identify problems/risks areas and seek practical solutions.
able to form your own views/judgments with supporting analysis.
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.
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 #: 171313BR
Business Divisions: Corporate Center
Title: Compliance Officer – Singapore Licensing & Registration
Job Type: Full Time
Country / State: Singapore
Function Category: Compliance