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UBS Financial Services Senior Compliance Officer in Toronto, Canada

Senior Compliance Officer

Canada

Compliance

Group Functions

Job Reference #:

214518BR

City:

Toronto

Job Type:

Full Time

Your role:

Are you able to leverage your regulatory knowledge and Compliance experience to positively influence risk decisions and promote a strong culture of Compliance? Do you know how to identify, analyze, and assess risks with the goal of enhancing control frameworks? Are you able to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations?

We're looking for an individual who can:

 Strategically challenge the 1st Line of Defense (1LoD) within the Wealth Management business, providing risk and conflicts analysis, regulatory context, cross-border guidance, and compliance-related education

 Engage with the supervisory team by providing advice and guidance for complex compliance and regulatory matters, and participate in working groups as a Compliance representative

 Conduct compliance risk assessments and provide forward-looking analysis of regulatory risk

 Perform monitoring and testing activities of 1LoD controls to ensure controls are operating effectively and are appropriate to sufficiently mitigate risk

 Provide compliance-focused solutions and prioritize a diverse workload to meet multiple deadlines

 Assist with maintaining the relevant policies to ensure they reflect current regulatory requirements

 Measure and aggregate material compliance and operational risks for the local business

 Participate in the development and implementation of change initiatives for the Compliance & Operational Risk Control Department (C&ORC)

Your team:

You will be working in the Wealth Management Compliance team in Toronto, reporting to the Chief Compliance Officer.

Your expertise:

You have:

• a Bachelor's degree or higher with a minimum of 5 years experience in a compliance role, ideally with a Canadian financial services or wealth management firm

• strong compliance experience including monitoring and testing, KYC and suitability requirements. Securities industry designations (e.g. CIM) would be very beneficial

• strong knowledge of the asset management, provincial securities regulatory requirements and rules, including the local laws and regulations appliable to a Schedule II bank, portfolio manager and exempt market dealer

• experience in dealing with the Ontario Securities Commission on matters pertaining to portfolio managers or exempt market dealers

• successfully completed the Canadian Securities Course (additional industry qualifications preferred, e.g., CCO)

• excellent oral and written communication skills, strong organizational and prioritization skills.

• previous cross-border experience preferred

You are:

• a self-starter with confidence and strong collaboration skills

• prepared to take initiative and cooperate with colleagues at all levels across the organization

• someone who loves to solve problems, with sound judgment, decision making and risk management skills

• detail-oriented and focused on identifying opportunities for process improvements

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?

Requirements:

• a Bachelor's degree or higher with a minimum of 5 years experience in a compliance role, ideally with a Canadian financial services or wealth management firm

• strong compliance experience including monitoring and testing, KYC and suitability requirements. Securities industry designations (e.g. CIM) would be very beneficial

• strong knowledge of the asset management, provincial securities regulatory requirements and rules, including the local laws and regulations appliable to a Schedule II bank, portfolio manager and exempt market dealer

• experience in dealing with the Ontario Securities Commission on matters pertaining to portfolio managers or exempt market dealers

• successfully completed the Canadian Securities Course (additional industry qualifications preferred, e.g., CCO)

• excellent oral and written communication skills, strong organizational and prioritization skills.

• previous cross-border experience preferred

You are:

• a self-starter with confidence and strong collaboration skills

• prepared to take initiative and cooperate with colleagues at all levels across the organization

• someone who loves to solve problems, with sound judgment, decision making and risk management skills

• detail-oriented and focused on identifying opportunities for process improvements

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.

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