UBS Financial Services Compliance & Operational Risk Control Specialist in Hong Kong, Hong Kong
Are you a detail-oriented troubleshooter? We are looking for someone like this to be responsible for administering the Compliance & Operational Risk Control Violations Framework for all business Divisions in APAC. Primarily your role requires the reporting and analysis of APAC/Global violations data to identify violations trends to ensure that identified or emerging risks are properly escalated to Senior Management. It also involves the assessment and recording of relevant violations data.
We are looking for someone who can:
• Provide accurate and timely reporting to key stakeholders, senior management and the business
• Analyze data to provide commentary for senior management on violation trends and key and emerging employee risks.
• Ensure that regional violation records are up to date and accurate.
• Assist in the assessment and challenge violations submitted through the program (in relation to a limited number of violations categories) and perform quality assessments based on the relevant facts and a good understanding of the risks to ensure consistency and fairness.
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).
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.
The Employee Conduct Team in UBS is part of the Global Compliance & Operational Risk Control function. This team is responsible for Employee Conduct related matters which includes Licensing & Registration, Personal Account Dealing (PAD), Affirmations (AOL), External Directorship & Positions (EDP), Training and Violations. The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Corporate Center Businesses.
The violations framework ensures that where breaches are identified that they are assessed, rated, responded to and reported in a fair and consistent manner. It aims to:
Ensure consistent and transparent action is applied across locations, business divisions and globally to ensure the fair treatment of individuals;
Ensure there is a central log for violations globally to facilitate consolidated reporting and management information; and
Ensure that severe and/or repeat violations are referred for consideration in year-end performance evaluations and HR disciplinary processes.
Your experience and skills:
• Excellent command of excel
• Previous experience using tableau (desirable but not necessary).
• Excellent attention to detail with high accuracy
• Good communication skills and the ability to analyze facts and identify gaps and inconsistencies in large amounts of data.
• Client focused with good communication skills
• Able to prioritize your workload and manage multiple data requests
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?
Job Reference #: 167798BR
Business Divisions: Corporate Center
Title: Compliance & Operational Risk Control Specialist
City: Hong Kong
Job Type: Full Time
Country / State: Hong Kong
Function Category: Compliance