UBS Financial Services Compliance Controls Specialist in Hong Kong, Hong Kong
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Do you have a keen eye for detail? Are you proactive and organized? If so, we're looking for someone like this to:
review preparation including sourcing relevant data, risk assessment and discussion with stakeholders on review scope
engage in any other ad-hoc reviews that arise from Global Functions, Business/Support functions or regulators
execute periodic controls in line with the Global MS&C Minimum Control Standards (GMMCS) framework taking into account any local requirements where applicable
identify and engage the team to bring forward change and alignment when gaps or discrepancies are identified in the course of carrying out control tasks
Compliance Controls Specialist
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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.
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. 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.
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 MS&C Teams may be supported by staff members with control targets and responsibilities whilst reporting to other C&ORC units. The coordination and alignment of all control activities is a core responsibility of the MS&C Teams. The MS&C Teams are expected to carry out a comprehensive risk based assessment to determine the appropriate control areas and the sampling and review methodology. Where applicable, the assessment should reflect the Global MS&C Minimum Control Standards (GMMCS), local standards (where applicable), business practices, and regulatory expectations.
Your experience and skills:
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
the ability to work effectively with others, be prepared to take a supportive role where required, assist others at short notice and be part of a small close-knit team;
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
able to identify problems and seek practical solutions (a problem solver)
pragmatic with the ability to ‘think on your feet’
able to balance commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions
self-motivated, confident, and out-going 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 almost 900 offices and more than 50 countries. Do you want to be one of us?