Compliance Officer - Singapore - UBS

UBS

Verified Company

Singapore

1 week ago

Posted by:

Wei Jie

beBee Recruiter

Description

Singapore

Compliance
Group Functions

Job Reference #

BR

City

Singapore

Job Type

Full Time

Your role

Do you have sharp analytic skills and the ability to identify compliance and risk issues? Do you know how to maintain independence and objectivity? Are you confident when it comes to speaking up for what is right and challenging at all levels?
We are looking for a Compliance Officer within Asset Management Business Aligned Compliance and Operational Risk Control (AM 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 support on all issues including investment trading, products, client due diligence issues/matters

Prepare periodic reporting and regulatory filings.- provide analysis on changes to regulations and provide support to the Business on implementation
- carry out compliance monitoring and perform ad hoc investigations into matters or issues that are escalated to C&ORC
- be responsible for ongoing review and update of Compliance Manual and key procedure documents
- design and delivery of compliance training and / or materials

Your team

You'll work in Singapore and be part of the AM C&ORC's dynamic, driven and integrated team of professionals, which is responsible for managing the compliance and operational risks arising from UBS' Asset Management business. The Singapore AM C&ORC team forms part of the Asia Pacific team ultimately reporting to the Regional Head of C&ORC.
As a team, we work closely and support each other to collectively mitigate risks. At the same time, we also collaborate closely with other controls and business functions as a trusted advisor to them.

Your expertise
- at least 3+ years of relevant experience either within a Legal, Compliance, regulatory or audit function pertaining to Asset Management
- working knowledge fund management and securities laws, regulations, directives and expectations
- knowledge of the Client onboarding, AML/KYC rules and process
- strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively
- 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
- ability to work under pressure
- proficient in Microsoft Office including PowerPoint, excel and word
- #LI-SG

EFC-UBS

About us

UBS is the world's largest and only truly global wealth manager.

We operate through four business divisions:
Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

How we hire

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like parttime, jobsharing and hybrid (office and home) working. Our purposeled culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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.