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Compliance Officer, GWM Business Aligned Compliance

2 weeks ago

Singapore UBS AG Full time $90,000 - $120,000 per year

Your role

We are looking for a Compliance Officer to join the Wealth Management Business Aligned Compliance & Operational Risk Control (C&ORC) team to:

· deliver high-quality Compliance and Operational Risk Control (C&ORC) advisory support to Business and Support functions, ensuring alignment with applicable laws, regulations, and internal policies

· conduct C&ORC reviews, provide sign-offs, and grant approvals as required by internal processes

· perform in-depth analysis of regulatory changes and support the Business in implementing necessary adjustments

· offer comprehensive C&ORC guidance on a broad range of matters, including investment suitability, product governance, and cross-border considerations

· maintain and periodically update the Singapore Compliance Manual and relevant sections of the Operating Manual to ensure continued relevance and accuracy

· undertake ad-hoc reviews initiated by Global Functions, Business or Support units, regulators, or as required to support the Compliance Controls Team

· represent C&ORC in ad-hoc projects, contributing subject matter expertise and oversight

· conduct investigations into escalated matters or issues requiring C&ORC attention

· design and deliver compliance training programs and materials, including induction sessions and quarterly "Black Belt" training modules

Your team

This role fits within the Global Wealth Management Compliance & Operational Risk Control (C&ORC) function. As a member of the Singapore WM Business Aligned C&ORC team, you will be based in Singapore with other C&ORC functions. The Singapore C&ORC team forms part of the Asia Pacific team ultimately reporting to the Regional Head of C&ORC.

As a team, we work closely and support each other to collectively mitigate risks. At the same time, we also collaborate closely with other controls and business functions as a trusted advisor to them.

Your expertise

· bachelor degree with minimum 3 years' experience in compliance advisory or similar function

· related working knowledge of Singapore banking and securities laws regulations, directives and expectations; understanding of key compliance topics and knowledge in financial products is a plus

· strong communication and interpersonal skills

· proficient in Microsoft Office including power point, excel and word

· analytical, good problem solver

· ability to work under pressure

· self-starter with a commitment to ongoing improvement

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.

How we hire

We may request you to complete one or more assessments during the application process. Learn more

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.

We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA

UBS Recruiting

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.