Your role
Are you an experienced Compliance and Operational Risk professional? Can you take responsibility for the delivery of the Compliance and Operational Risk framework for our UK operations of UBS Asset Management, and support a robust compliance and operational risk framework to ensure sustainable performance and the right outcomes for our clients, markets and people?
We are looking for a Compliance Officer like you to support us with:
• advising Asset Management key stakeholders on regulatory topics, risk identification, mitigation, and all necessary regulatory measures, ranging from individual specific issues to broader strategic projects
• ensuring compliance and operational risk controls are robust, applied and appropriately owned across both 1st and 2nd lines of defense and that policies and procedures reflect regulatory requirements and industry best practice in alignment with our firmwide C&ORC framework
• implementing the relevant aspects of our UBS Non-Financial Risk Framework and management of the delivery of the regulatory obligations arising from our UK AM entities
• deputizing for our Head of UK C&ORC in Committee and Board Meetings as well as representation at various associations
• management of regulatory topics
• arranging and providing compliance training to AM UK business
• being considered as a trusted partner of our AM business whilst also delivering effective independent challenge
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?
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.
Your team
You will be reporting into our UK Head of Asset Management C&ORC based in London. Your team consists of subject matter experts (SMEs) who cover Operational Risk Control, Investment and Product Advisory, Financial Crime and Regulatory Developments. Our wider team supports our UK Asset Management business by ensuring the effective management of its regulatory and operational risks. Additionally you will ensure close alignment and collaboration between other AM C&ORC regional teams, leveraging other key SMEs as required.
Your expertise
• at least 10 years experience of Compliance and/or related operational roles
• strong background in Passive Asset Management
• proven track record in compliance and operational risk control, with a focus on and/or experience working in asset management
• broad understanding of the UK regulatory framework
• effective communication skills, both written and spoken English
• exceptional stakeholder management skills
• structured, analytical approach coupled with proven capability to think laterally and understand, both the big picture and underlying details
• willingness to work in a hands-on manner, to understand and adapt positively to changes
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.
Are you an experienced Compliance and Operational Risk professional? Can you take responsibility for the delivery of the Compliance and Operational Risk framework for our UK operations of UBS Asset Management, and support a robust compliance and operational risk framework to ensure sustainable performance and the right outcomes for our clients, markets and people?
We are looking for a Compliance Officer like you to support us with:
• advising Asset Management key stakeholders on regulatory topics, risk identification, mitigation, and all necessary regulatory measures, ranging from individual specific issues to broader strategic projects
• ensuring compliance and operational risk controls are robust, applied and appropriately owned across both 1st and 2nd lines of defense and that policies and procedures reflect regulatory requirements and industry best practice in alignment with our firmwide C&ORC framework
• implementing the relevant aspects of our UBS Non-Financial Risk Framework and management of the delivery of the regulatory obligations arising from our UK AM entities
• deputizing for our Head of UK C&ORC in Committee and Board Meetings as well as representation at various associations
• management of regulatory topics
• arranging and providing compliance training to AM UK business
• being considered as a trusted partner of our AM business whilst also delivering effective independent challenge
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?
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.
Your team
You will be reporting into our UK Head of Asset Management C&ORC based in London. Your team consists of subject matter experts (SMEs) who cover Operational Risk Control, Investment and Product Advisory, Financial Crime and Regulatory Developments. Our wider team supports our UK Asset Management business by ensuring the effective management of its regulatory and operational risks. Additionally you will ensure close alignment and collaboration between other AM C&ORC regional teams, leveraging other key SMEs as required.
Your expertise
• at least 10 years experience of Compliance and/or related operational roles
• strong background in Passive Asset Management
• proven track record in compliance and operational risk control, with a focus on and/or experience working in asset management
• broad understanding of the UK regulatory framework
• effective communication skills, both written and spoken English
• exceptional stakeholder management skills
• structured, analytical approach coupled with proven capability to think laterally and understand, both the big picture and underlying details
• willingness to work in a hands-on manner, to understand and adapt positively to changes
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.