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? We are looking for someone like that to:

– 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

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

  • assist on conflict management matters


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. We work closely with Control Rooms in Australia, Japan, UK and US to provide an after the sun global Control Room coverage. We offer an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth.

Your experience and skills:

You have:

– at least 5 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

– 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

– good Microsoft Office skills. Knowledge of monitoring systems a plus

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?