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Job ref no.: CT3115703-01#1207

Compliance Specialist

UBS

Do you have sharp analytic skills? Are you great at answering questions and giving advice? We are looking for someone like this to:

Deliver review preparation including sourcing relevant data, risk assessment and discussion with stakeholders on review scope
Execute routine periodic controls in line with the Global Monitoring Surveillance & Controls Minimum Control Standards (GMMCS) framework and local requirements where applicable
Engage in any other ad-hoc reviews that arise from Global Functions, Business/Support functions or regulators
Identify and engage the team to bring forward change and alignment Where gaps or discrepancies are identified in the course of carrying out control tasks
Liaise with employees, senior management, regulators and major stakeholders as appropriate and necessary
Monitoring Surveillance & Controls (MS&C) part of Compliance & Operational Risk Control (C&ORC), monitors business activities across Wealth Management (WM), Investment Bank (IB) and Asset Management (AM) in relation to compliance with all applicable laws, regulations and policies including Cross-border Activities, Investment Suitability, Know Your Customer (KYC), Conflicts of Interest, Sanctions, amongst others. MS&C works in close cooperation with other C&ORC teams, including Financial Crime, Employee Conduct, Conduct Risk and Legal. In addition, MS&C works closely with Business Risk units, Chief of Staff, Operations and other risk or control focused units. The measures of success for MS&C are: No key risks remain uncontrolled, the approach is fully aligned with activities of other control functions, controls were executed in a timely manner and comprehensively documented/reported, stakeholders were engaged appropriately, follow-up actions were duly tracked and closed and change management actions duly initiated.

You have

  • University degree/qualifications;
  • At least 4+ years of relevant experience (audit and/or Compliance testing background)
  • Excellent communication skills (both written and oral) along with good interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject;
  • Excellent report writing skills and the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority;

You are

  • Able to identify problems and seek practical solutions
  • Pragmatic with and the ability to ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgment's and decisions and providing compelling solutions
  • Self-motivated, confident, and out-going and enthusiastic in nature, with the ability to act with tenacity and diplomacy

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?
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).

Why UBS? Video
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. 

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.

Interested parties please click Apply Now to apply job.

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More job information
Job ref no. CT3115703-01#1207
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 4 years - 8 years
Career Level
  • Non-management level
Education
  • Degree