Compliance Controls Testing Lead Analyst

3 days ago

Singapore UBS Full time

Singapore
- Compliance
- Group Functions

**Job Reference #**
- 290020BR

**City**
- Singapore

**Job Type**
- Full Time

**Your role**
- Are you a sharp evaluator of risk? Can you investigate complex solutions? Do you have specific experience on the Wealth Management business including it's key compliance risks?
- We're looking for a compliance controls analyst who can:
- drive or work as a team member on controls review and testing of UBS Global Wealth Management (GWM), including thematic and front-to-back,
- analyze and assess risks arising from both the business and support functions
- identify and evaluate the design, implementation and effectiveness of controls designed to address those risks
- document and communicate review findings, root causes and risks, and prepare reports of reviews for UBS senior management
- develop recommendations for items that solution owners should consider when finalizing their action plans
- review remediation actions submitted by the business for closure to assess whether these have addressed the original risks
- successfully collaborate with peers in and across Monitoring, Surveillance and control teams
- develop and maintain relationships with senior management

**Your Career Comeback**

**Your team**
- You will be working in Monitoring, Surveillance and Controls (MS&C) in Singapore / Hong Kong. MS&C is an independent function within the 2nd line of defense, that supports Group Compliance, Regulatory and Governance (GCRG) in achieving its strategic, operational, financial and compliance objectives.
- We do this by assessing key processes as well as governance, risk management, and the control environment within the key business divisions of the APAC region.
- We are a talent powerhouse that attracts and develops the best people by driving career growth in and outside the department. Our team of compliance controls specialists, is mainly responsible for reviewing compliance controls specific to financial crime, investment suitability, cross border and execution related conflicts of interests. In your role, you will be covering the reviews of GWM compliance controls.

**Your expertise**
- 7 years+ experience in audit or compliance controls testing within the financial industry. This experience could have been gained at a consulting firm, or in an internal audit or compliance controls function within a financial institution
- Strong knowledge of anti money laundering and know your client requirement for high net worth clients
- Reliable when working on your own, with sound judgment for when to escalate issues. Excellent organizational, time management and problem solving skills
- You are able to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in procedures.
- Willingness to keep up with industry, regulatory developments and learn new concepts and methods,
- Ability to effectively communicate with senior stakeholders.
- Have strong technical skills and knowledge on tools like Alteryx and Business Objects is preferable
- #LI-SG
- EFC-UBS

**Contact Details**
- UBS Business Solutions SA
- UBS Recruiting

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