UBS Financial Services Senior Wealth Management Compliance Officer - Greater China in Hong Kong, Hong Kong

Your role:

Do you specialize in Global Wealth Management (GWM) Compliance Advisory? Do you have significant prior exposure cross-border to the China Markets?

We are looking for a Senior Wealth Management Compliance Officer to:

  • be a senior leader for the GWM Compliance and Operational Risk Control (C&ORC) Team based in Hong Kong supporting Greater China and reporting into GWM Head of C&ORC APAC.

  • provide independent and timely advice to business and other functions on all issues including investment suitability and products, cross-border, new business initiatives and transactions undertaken by clients

  • assesses regulatory developments and requirements (e.g. CSRC, CBIRC, PBOC) and work with front line to ensure compliance risks are identified, reported and tracked for resolution

  • acting as second line of defense to GWM Greater China business's oversight , identification and management of consequential risks including analysing control framework, processes and systems, providing constructive challenges on design and operating effectiveness of controls; and advises stakeholders for the implementation of improved solutions that support business sustainable growth whilst mitigating compliance risk

  • liaises with internal/external auditors and support onshore interactions with regulators including reviews and inspections, and coordinate these with all relevant stakeholders

  • delivers and facilitates training courses and seminars according to agreed quality standards

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 a senior team member in the GWM C&ORC function based in Hong Kong supporting Greater China. Our role is to cover all aspects of general compliance duties aligned to the Global Wealth Management business. We help by acting as the second line of defence, our business's oversight, identification and management of consequential risks. This includes analysing control frameworks, processes and systems, providing constructive challenges on design and operating effectiveness of controls; and advising stakeholders for the implementation of improved solutions that support business sustainable growth whilst mitigating compliance risk.

Your expertise:

  • at least 15 years of financial services industry experience gained in a compliance, regulatory, audit (internal or external) and/or banking environment

  • good working knowledge of applicable China rules and regulations

  • good knowledge of private wealth management business

  • good coordination skills to liaise with onshore and offshore SMEs, project managers and front to back functions

  • common sense, good interpersonal skills and ability to think out of the box

  • a good team player and but also a strong leader of successful teams

– able to critically verify aspects of marketing materials and challenge documentation with an independent mindset

– an effective communicator in both English and Mandarin

– able to travel to China

– well connected in the industry

– reliable and resilient (challenging situations and conversations don’t scare you)

*LI-UBS

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 #: 185403BR

Business Divisions: Corporate Center

Title: Senior Wealth Management Compliance Officer - Greater China

City: Hong Kong

Job Type: Full Time

Country / State: Hong Kong

Function Category: Compliance