Compliance Officer, Wealth Management Compliance Officer, Wealth Management …

in Singapore, Singapore, Singapore
Permanent, Full time
Be the first to apply
in Singapore, Singapore, Singapore
Permanent, Full time
Be the first to apply
Job Reference # 192760BR
Your role
Do you have sharp analytic skills and the ability to identify compliance and risk issues? Do you have the passion to resolve issues and provide trusted advice to your business partners and stakeholders? We are looking for someone to like that to join the WM Business Aligned Compliance and Operational Risk Control (C&ORC) team to:

• Provide high quality C&ORC advice to Business and Support functions on applicable internal policies, laws and regulations
• Provide C&ORC reviews / sign-offs / approvals where processes require
• Provide high level analysis on changes to regulations and provide support to the Business on implementation
• Provide C&ORC support on cross border issues/matters
• Be responsible for ongoing review and update of the Singapore Compliance Manual and relevant sections of the Operating Manual
• Carry out any ad-hoc reviews that arise from Global Functions, Business / Support functions, regulators or when required to support the separate Compliance Controls Team.
• Participate in ad-hoc projects as the C&ORC representative
• Perform ad hoc investigations into matters or issues that are escalated to C&ORC
• Design and delivery of compliance training and / or materials – including induction and quarterly black belt trainings

Your team
This role fits within the Global Wealth Management Compliance & Operational Risk Control (C&ORC) function. As a member of the Singapore WM Business Aligned C&ORC team, the role will be based in Singapore with other C&ORC functions. The Singapore C&ORC team forms part of the Asia Pacific team ultimately reporting to the Regional Head of C&ORC.

Your expertise
• At least 6+ years of relevant experience either within a Legal, Compliance, regulatory or audit function pertaining to Wealth Management
• Working knowledge of banking and securities laws, regulations, directives and expectations
• Knowledge of WM products and service offering
• Strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively
• Proficient in Microsoft Office including powerpoint, excel and word
• Self-motivated, confident, and out-going and enthusiastic in nature, with the ability to act with tenacity and diplomacy
• Pragmatic with the ability to ‘think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at a sound judgment or decision and providing compelling solutions
• Able to prioritize effectively, identify problems and seek practical solutions

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?

Join us
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, 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.