UBS Financial Services Control Room Compliance Officer in Hong Kong, Hong Kong

Job Reference #:


Business Divisions:

Corporate Center

Your role:

Are you risk averse but risk aware? Do you specialize in Control Room Compliance?

– provide 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

– general advisory on investment banking and research compliance matters

– maintenance of the Global Grey and Restricted Lists

– management of information barriers

– maintenance of research disclosures

– research pre-clearance, ordinary course and investor education research reports

– act as the compliance liaison for matters regarding Internal Audit, Compliance Risk Assessment, regulatory inquiries and examinations and Central Compliance matters (e.g. registrations, personal account dealing, outside business activities and monitoring)


Control Room Compliance Officer


Hong Kong

Job Type:

Full Time

Country / State:

Hong Kong

Function Category:


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.

Your team:

– You’ll be working in the Control Room team in Hong Kong and work closely with Compliance colleagues globally on broader, department-wide initiatives to:

o Achieve regional and global objectives

o Develop and to implement regional and global policies and procedures

o participate and contribute towards discussions held by the Compliance Global Business Team for Research

– We work closely with Control Rooms in Australia, Japan, UK and US to provide an after the sun global Control Room coverage.

Your experience and skills:

You have:

– at least 5 years of relevant Control Room and/or Investment Banking Compliance or Legal experience

  • experience gained in a relevant Hong Kong regulatory body (HKEx or SFC) is beneficial

– 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

– a collaborative 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

– an ability to build and sustain strong relationships with business staff and management and with colleagues in Compliance, locally, regionally and globally

– Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views and opinions given to Research and investment banking.

You are:

– able to critically challenge the status quo with an independent mindset

– reliable and resilient (challenging situations and conversations don’t scare you)

– fluent in English and 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 almost 900 offices and more than 50 countries. Do you want to be one of us?