Regulatory Risk Lead, Wealth Mgmt (C&ORC) – Flexible

UBS; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

UBS Singapore is seeking a seasoned Compliance & Operational Risk Control professional to join the GWM Business Aligned C&ORC team. Based in Singapore, you will advise on internal policies, perform reviews, and support regulatory changes.

You will lead training, update Compliance Manual, and participate in ad-hoc projects and investigations to ensure effective risk controls across Wealth Management functions.

Qualifications

• 5+ years experience in Legal, Compliance, regulatory or audit in Wealth Management.
• Working knowledge of banking and securities laws/regulations.
• Knowledge of WM products and service offerings.
• Strong communication and engagement skills to handle contentious issues.
• Experience in team and people management.
• Curious about applying AI to improve workflows with sound judgment.

Responsibilities

• Provide high quality C&ORC advice to Business and Support functions on applicable internal policies, laws and regulations.
• Provide C&ORC reviews / sign-offs / approvals where processes require.
• Provide high level analysis on changes to regulations and provide support to the Business on implementation.
• Be responsible for ongoing review and update of Compliance Manual and other relevant local policies/procedures.
• Carry out any ad-hoc reviews that arise from Global Functions, Business / Support functions, regulators or when required.
• Participate in ad-hoc projects as the C&ORC representative.
• Perform ad hoc investigations into matters or issues that are escalated to C&ORC.
• Design and delivery of compliance training and / or materials – including induction and quarterly black belt trainings.

Skills

5+ years experience

Banking & securities laws

WM products & services

Strong communication skills

People management

AI & governance

Job description

UBS Singapore is seeking a seasoned Compliance & Operational Risk Control professional to join the GWM Business Aligned C&ORC team. Based in Singapore, you will advise on internal policies, perform reviews, and support regulatory changes.

You will lead training, update Compliance Manual, and participate in ad-hoc projects and investigations to ensure effective risk controls across Wealth Management functions.