Job ref no.: CT3115703-01#0845

Head of Control Room, Asia


UBS  -Hong Kong

Your role

Do you have a strong knowledge of Control room Compliance issues? Are you capable of building strong working relationships with the IB business? We are looking for someone like that to

  • provide the business advisory on investment banking and research compliance matters
  • maintain Global Grey and Restricted Lists
  • manage information barriers
  • research pre-clearance, ordinary course and investor education research reports
  • assist on conflict management matters
  • maintain research disclosures
  • provide coverage of Research matters from a business aligned compliance perspective, including:
  • provision of specific compliance advice and training to business staff on regulatory developments, policy initiatives, projects, new business initiatives and process improvements
  • be responsible for interpreting and enforcing applicable rules and regulations, with emphasis on research related regulations
  • act as the compliance liaison for matters regarding Internal Audit, regulatory inquiries and examinations and Employee Conduct matters (e.g. registrations, personal account dealing, outside business activities and monitoring) relating to Research
  • develop and conduct Compliance training as appropriate
  • work closely with Compliance colleagues globally on broader, department-wide initiatives

Your team

You will manage 4 direct staff members in Hong Kong Control Room in their day to day work in the core control room, research clearance and advisory and Corporate Client Solution ("CCS") (including Global Capital Market) compliance matters and provide direct compliance support, including amongst other things regulatory advice, training, drafting of policies and procedures, to Research and CCS businesses.
You will also act as APAC coordinator to provide advisory support to other Control Rooms in Tokyo and Sydney and lead regional Control Room discussions on regional issues, regulatory developments, policy initiatives, projects and process improvements.

Your experience and skills

You have:

  • at least 7+ years of relevant Control Room and/or Investment Banking Compliance or Legal experience
  • a good understanding of the compliance issues related to Research, including the issues and relationships among sales, trading and investment banking
  • good general knowledge of relevant regulations in key jurisdictions in Asia including Hong Kong and Singapore. US and EMEA Compliance knowledge and experience a plus

You are:

  • collaborative in your approach to achieving goals, ready to take initiatives, actively share information, and be willing to undertake a variety of roles within the Compliance team as required
  • able to build and sustain strong relationships with business staff and management and with colleagues in Compliance, locally, regionally and globally
  • strong in Microsoft Office skills. Knowledge of monitoring systems a plus
  • an fluent communicator (both written and spoken) in English in addition the ideal candidate will be fluent in reading and speaking Mandarin

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?

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).

Why UBS? Video

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. 

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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More job information
Job ref no. CT3115703-01#0845
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 7 years - 12 years
Career Level
  • Middle management level
  • Degree