UBS Financial Services Regional IB Aligned Compliance Officer in Hong Kong, Hong Kong

Your role:

Are you experienced in looking at cross border compliance matters? Do you have a good understanding of the China markets particularly? We are looking for someone like that to:

  • ensure relevant compliance and operational risk (C&ORC) frameworks, taxonomies, applicable laws and regulations and best practice standards are actively and appropriately managed and complied with by the IB businesses in North Asian locations (China – onshore & offshore, Korea, Taiwan) and South Asian locations (India, Indonesia, Malaysia, Philippines, Thailand).

  • work with the functional C&ORC teams in Equity, FRC, CCS and Research and local C&ORC teams in North Asian and South Asian locations to provide the IB Businesses in the region with controls, tools, training, frameworks, information and insight required to perform their risk management and supervisory responsibilities.

  • proactively drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the IB businesses in the North Asian and South Asian locations

  • lead event reviews and root cause analyses on internal compliance and operational risk events

  • help disseminate relevant rules, procedures and controls and developing and delivering compliance and operational risk training programs.

  • ensure adherence to the regulations, guidelines and policies relevant to the China offshore IB businesses as well as regulatory developments in other jurisdictions across APAC as well as globally relevant regulations that impact the China offshore IB businesses.

  • participate in reviewing new business initiatives and transactions requiring pre-approval

  • liaise closely with counterparts in the other APAC hubs and offices

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 will be a member of the IB Aligned Compliance and Operational Risk Control (C&ORC) team. We are a team who partner effectively with the business to manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded and to develop risk mitigating measures and controls and to have adequate remediation plans in place to address these risks.

Your expertise:

You have

  • a degree in a business, finance or legal discipline, or Compliance and Operational Risk specific training or qualifications

  • 5+ years experience in compliance matters (ideally with the explicit cross-border experience)

  • sound know-how in the analysis of business processes and a strong understanding of equities products

  • good working knowledge of the relevant rules and regulations pertaining to the offshore China IB businesses

You are:

  • able to critically verify aspects of the commercial and operational arrangements within the business and challenge practices and documentation with an independent mindset

  • a team player

  • the type of person who looks for solutions and has strong intellectual curiosity

  • fluent in written and spoken professional English and Mandarin (additional languages a plus of course)


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 #: 176742BR

Business Divisions: Corporate Center

Title: Regional IB Aligned Compliance Officer

City: Hong Kong

Job Type: Full Time

Country / State: Hong Kong

Function Category: Compliance, Risk