Compliance Monitoring Specialist
Job Reference #
Are you risk aware? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:
• Assist in delivering the Wealth Management (WM), Asset Management (AM) and Investment Banking (IB) compliance monitoring & surveillance programme by performing second-line-of-defence reviews to assess controls and provide assurance that controls are operating effectively in relation to consequential risks across a number of key taxonomies (Suitability (incl ESG), Cross Border, Market Conduct, Conflicts of Interest) and regulations.
• Ensure adherence to regulatory requirements and internal policies and safeguard UBS’s reputation against legal and regulatory risks.
• Distil concerns or issues identified from reviews and report these findings to senior management with recommended actions to address deficiencies.
• Implement changes as a result of monitoring findings to enhancing controls, test procedures and processes.
• Support MS&C team lead on implementation and delivery of ad hoc project work.
• Manage relationships with stakeholders in WM, AM and IB.
You’ll be working in the Client Related Business Conduct team (CRBC) which is a part of the UK Monitoring, Surveillance & Control (MS&C) team in London and Krakow. We form part of the Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of WM, AM and IB UK business activity to ensure adherence to a number of key taxonomies (Suitability (incl ESG), Cross Border, Market Conduct, Conflicts of Interest) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks. The team has close and continuous collaboration with the WM, AM and IB business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.
• Working knowledge of the WM, AM and/or IB business, processes and risks.
• Experience of working in the WM, AM or IB business, compliance monitoring, risk management, risk control or audit, an understanding of the regulatory environment and expectations and FCA rules and guidance together with other relevant regulations and codes of practice.
• a pragmatic approach and are detail orientated
• analytical, with the ability to provide practical and realistic solutions for minimizing risk, you are
result-oriented and assertive (you don’t shy away from challenging situations).
• able to convey information clearly, accurately and succinctly.
• Willing to challenge status quo and to improve processes
• able to demonstrate effort and enthusiasm to deliver results within challenging timeframes.
• a team player
UBS is the world’s largest and 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.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?
How we hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
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?
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.