Senior Compliance & Operational Risk Lead, GWM

UBS AG

Singapore

Sur place

SGD 110 000 - 150 000

Plein temps

14 jours+

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Résumé du poste

UBS AG in Singapore seeks a Senior Officer in Compliance & Operational Risk Control (GWM) to provide expert C&ORC advice to business and support functions, perform reviews and sign-offs, and support regulatory implementation. The role covers updating policies, ad-hoc reviews, and training delivery, within the Global Wealth Management Compliance & Operational Risk Control function.

The candidate will bring 8+ years in legal/compliance/regulatory/audit in wealth management, a strong grasp of

Qualifications

8+ years of experience in legal, compliance, regulatory or audit in wealth management.
Knowledge of banking and securities laws, regulations, directives and expectations.
Knowledge of WM products and service offering.
Strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively.
Extensive team & people management experience.

Responsabilités

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.