UBS Financial Services Monitoring & Surveillance - Controls & Assurance Specialist in Tokyo, Japan

Your role:

Are you risk averse? Do you know how to maintain

independence and objectivity? We’re looking for someone

like that to:

– perform controls testing for Wealth Management in line with the Global MS&C Minimum Control Standards (GMMCS) and local requirements where applicable.

  • Performing independent quality assurance for Trade

Surveillance, Electronic Communication and Anti-money

Laundering (AML) monitoring

– provide high quality data analysis, aggregation and

interpretation with respect to controls performed and

against applicable internal policies and local law.

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:

Monitoring & Surveillance, and Communcation (MS&C)

team of Japan Compliance & Operation Risk (C&ORC) is

mainly composed of Trade Surveillance, Electronic

Communication and AML transaction monitoring.

We’re responsible for monitoring electronic

communications and transactions across all division for the following key compliance risks: suitability, market conduct, cross border, conflicts of interest and financial crime etc.

We make sure internal policies are followed and our

reputation is protected from legal and regulatory risks.

Your experience and skills:

You have

– experience in audit, compliance, risk control or


– broad knowledge on financial products including

equities, fixed income, derivatives, FX and loans.

– an understanding of the regulatory environment and

expectation together with other relevant regulations and

codes of practice

You are

  • a self starter with a demonstrable ability to work independently, identify issues and recommend remediation.

  • fluent in Japanese and good at English (business level)

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 #: 173987BR

Business Divisions: Corporate Center

Title: Monitoring & Surveillance - Controls & Assurance Specialist

City: Tokyo

Job Type: Full Time

Country / State: Japan

Function Category: Compliance