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Global Markets (FX, Rates and Credit) Compliance Officer - Executive D

UBS Hong Kong
Posted 5 days ago Permanent Competitive
Your role
Your role:
• provide independent and timely guidance to the business and other functions on all issues relating to day to day business, new business initiatives, regulatory developments and transactions undertaken by clients
• assess regulatory requirements (e.g.: HKMA and HK SFC) to ensure compliance risks are identified, reported and tracked to their resolution
• analyse processes and systems and provide guidance to relevant stakeholders on the implementation of improved solutions that support business and mitigate compliance risk
• coordinate and lead global or regional compliance projects or initiatives
• coordinate and liaise with regulatory authorities for any reporting, enquiries, reviews or examination
• liaise with internal auditors on various requests in relation to compliance matters
• design and implement compliance training program and deliver face to face trainings to the business
• review and establish manuals , Compliance Notices, policies and procedures in light of regulatory amendments and/or business changes

Your team
Your team:
This role will focus on the FX, Rates and Credit business with opportunity to cover all aspects of general compliance duties aligned to Global Markets business.
You'll be working in the Global Markets Compliance & Operational Risk Control team in Hong Kong reporting directly to the APAC Head of Global Markets Compliance and functionally to the Global Compliance Lead for FX, Rates and Credit.
Our team is to provide high quality and professional compliance services in support of the UBS IB Global Markets business activities.

Your expertise
Your expertise:
• at least 10 years in a relevant compliance/regulatory environment sound know-how of the Investment Bank and Global Markets business and products, this includes FX, Rates and Credit products
• sound understanding of applicable Hong Kong rules and regulations. It would be beneficial to have an understanding of FINMA and MiFID II Regulations given that UBS is a Swiss bank and has a large footprint in Europe
• good communication and interpersonal skills
• have the ability to think out of the box and challenge the status quo to ensure that there is always room for improvement
• able to critically assess and challenge documentation with an independent mindset
• reliable, resilient and capable of independently dealing with business desk heads and key stakeholders (challenging situations and conversations don't scare you)
• fluent in English

*#LI-HK

*EFC-UBS

About us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
Job ID  291418BR
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