Senior Compliance Officer, Asset Management

1 week ago

Singapore UBS Full time

Singapore
- Compliance
- Group Functions

**Job Reference #**
- 259808BR

**City**
- Singapore

**Job Type**
- Full Time

**Your role**
- We’re looking for a Senior Compliance Officer within our Asset Management aligned Compliance team.
- You'll have a dual reporting line to the Head of Asset Management Compliance & Operational Risk Control Singapore and the Global Chief Compliance Officer of UBS O’Connor. You will be the point person for some of the compliance matters of UBS O'Connor related to its investment management activities in APAC
- Providing challenge and a control to the business' compliance risk-taking and risk assessments.
- Assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of UBS O'Connor, and connecting them to those of UBS Asset Management.
- Influencing investment members in APAC within UBS O'Connor on key compliance risks and actions required to mitigate risk.
- Providing consultation to UBS O'Connor on, and evaluating, projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring.
- Periodic reporting and regulatory filings

**Your Career Comeback**

**Your team**
- You'll work in Singapore and be part of AM C&ORC's dynamic, driven and integrated team of professionals, which is responsible for managing the compliance and operational risks arising from UBS' Asset Management business.

**Your expertise**
- A Bachelor's degree in a relevant area of study, a graduate degree (e.g., MBA or JD) is a plus.
- 5-10 years of prior compliance experience with a hedge fund or other alternative investment platform or an asset manager, or a regulatory agency or major consulting firm covering hedge funds or alternative asset managers.
- Successful experience of leadership, both in terms of people as well as projects and initiatives.
- Common sense, executive presence, strong strategic judgment and integrative thinking skills, deep compliance risk knowledge, as well as good organizational, communication and influencing skills.
- Experience with securities regulations in various APAC countries as well as US securities regulations and a thorough understanding of the legal and regulatory expectations / requirements related to hedge fund compliance. Bank regulatory expertise is a plus.
- A leader with excellent interpersonal skills, and at the same time a collegial team player.
- Structured, rigorous, analytical, holistic and thorough in your approach, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground".
- Someone with strong and sound judgment and able to articulate views, assessments and approaches both verbally and in writing precisely, concisely, logically and accurately.
- Able to present to and respond effectively to senior internal and external stakeholders.
- Able to calmly manage conflict and pressure in a demanding, high-paced and high-volume environment.
- Flexible and capable of prioritizing based on changing internal or external demands.
- #LI-SG
- EFC-UBS

**About us**
- 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?

**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?

**Contact Details**
- UBS Recruiting Singapore

**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.

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