Job ref no.: CT3128818-01#2304

Compliance Officer - Global Markets


Your role
Are you risk averse but risk aware? Do you have experience in providing compliance or risk advisory services to the Global Markets business, with the focus on Equity Derivatives and Structured Products? Do you enjoy advising and supporting front office colleagues to ensure compliance with applicable policies and regulations? Are you confident when it comes to speaking up for what is rights and challenging at all levels?
We are looking for a Compliance Officer in Hong Kong, who will sit within the Global Markets team in Hong Kong to:

  • Interact daily with the Global Markets business in Hong Kong covering all asset classes, specifically Equity Derivatives and Structured Products.
  • Provide support and independent and timely guidance and challenge to the business and other functions on all issues relating to day to day business, new business initiatives, regulatory developments, transactional queries, and proposed material amendments to controls and process flow.
  • Assess regulatory requirements (e.g.: HKMA and SFC) to ensure compliance risks are identified, reported and tracked to their resolution.
  • Be involved in regulatory change initiatives that impact the team’s coverage area.
  • Analyze processes and systems and provide guidance to relevant stakeholders on the implementation of improved solutions that support business and mitigate compliance risk.
  • Liaise with internal auditors and other control functions on various request in relation to compliance matters.
  • Arrange for the drafting and provision of suitable training to respective business areas within Global Markets, either face to face or via other mediums such as online training.
  • Review manuals and compliance notices to ensure they are properly revised and/or updated where necessary and provide the respective desks within Global Markets with the relevant updates and guidance.
  • Draft new manuals, Compliance Notices, policies, and procedures in light of regulatory amendments and/or business changes
  • Be involved in investigating conduct risk issues, whether instigated internally or externally.

Your Career Comeback

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Your team

You’ll be working in the Global Markets Compliance &
Operational Risk Control (C&ORC) team in Hong Kong based across the Global Markets trading floors, with additional engagement with Global Markets Compliance teams across APAC. You will be reporting directly to the Head of Derivatives & Solutions CORC, Global Markets in Hong Kong.
We support the Hong Kong Global Markets business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our role is to provide high quality and professional compliance services in support of the Hong Kong Global Markets business activities. This role will cover all aspects of general compliance duties aligned to Global Markets business.

Your expertise

  • Ideally 6 years in a relevant compliance/regulatory environment
  • Sound know-how of the Investment Bank and Global Markets business and products, with focus on Equity Derivatives and Structured Products and including Fixed Income Products, such as Credit and FX
  • Sound understanding of applicable HKMA and SFC rules and regulations. It would also be beneficial to understand FINMA and MiFID Regulations
  • Strong relationship building, communication, interpersonal skills, and analytical skills
  • Ability to think out of the box and challenge the status quo to ensure that there is always room for improvement
  • Able to critically assess and challenge documentation with an independent mindset
  • Reliable, resilient and capable of independently dealing with business desk heads and key stakeholders (challenging situations and conversations don’t sway you away)
  • Fluent in English
  • #LI-HK

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. Interested parties please click Apply Now to apply job.

Contact Details

UBS Recruiting Hong Kong

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More job information
Job ref no. CT3128818-01#2304
Job Function
Employment Term
  • Full-time
  • 6 years
Career Level
  • Non-management level
  • Degree