UBS Financial Services Compliance - Asset Management Compliance Officer in Tokyo, Japan

Your role:

Are you risk averse but risk aware?

You will work closely with various compliance functions in group companies, reporting to Local Head of Compliance & Operational Risk Control Department of the Japan Entity.

We are looking for someone like that to:

  • provide compliance advice/support to AM business

  • review marketing materials

  • perform regulatory change tracking, monitor group policy changes, coordinate gap analysis and implementation

  • coordinate periodic review and update of internal policies and procedures

  • liaison with regulatory authorities, coordinate regulatory reporting

  • Perform error handling

  • Work closely with regional team and other functions within compliance and operational risk control area

  • Coordinate various local and regional/global regulatory projects

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:

You’ll be working in the Compliance & Operational Risk Control team in Asset Management Japan.

The team is a small team which is responsible for the overall compliance with local regulatory requirements, and provide a comprehensive advisory, monitoring and control service to Asset Management business in Japan.

Your experience and skills:

You are / You have;

  • Fluent Japanese and English

  • Standard PC skills (e.g. Expert skill for Excel, Word, PPT, MS Access etc. is preferable but not mandatory)

  • At least 5 years of working experience in asset management compliance role financial industry preferably in asset management

  • Compliance, risk control/management or legal background is preferred

  • Proactive, teamwork-oriented, effective communication skill, and challenging character

  • University degree in Law or Economics is preferred

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 #: 176334BR

Business Divisions: Corporate Center

Title: Compliance - Asset Management Compliance Officer

City: Tokyo

Job Type: Full Time

Country / State: Japan

Function Category: Compliance