Products & Services, Suitability & Cross Border Compliance Specialist London
UBS
Full Time
London
40000 - 78087 GBP ANNUAL Today
Job description
United Kingdom
Compliance
Group Functions
Job Reference #
272784BR
City
London
Job Type
Full Time
Your role
Are you risk aware? Do you know how to maintain independence and objectivity?
We are looking for a Products & Services, Suitability & Cross Border Compliance Specialist like you to:
We are looking for a Products & Services, Suitability & Cross Border Compliance Specialist like you to:
- take the lead in devising and delivering strategic monitoring requirements for Products & Services, Suitability & Cross Border for UK and EMEA across Global Wealth Management, Asset Management and Investment Banking through maintaining an open and on going dialogue with stakeholders, C&ORC functions, wider MS&C product management and utilizing control results from Products & Services, Suitability & Cross Border UK and EMEA teams
- pro-actively contribute to the assessment of business risks and leveraging management information to identify key business risks and emerging trends both within across business divisions
- 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 management with recommended actions to address deficiencies
- implement changes as a result of monitoring findings to enhancing controls, test procedures and processes
- support our MS&C UK and EMEA Regional Head on implementation and delivery of ad-hoc project work, reporting, issue escalation and closure
- represent our team at various risk committees at Regional level
- manage relationships with stakeholders in GWM, AM and IB in UK and in EMEA
Your team
You will be undertaking a key role as our Functional Lead, with responsibility for overseeing risks and strategies for Products & Services, Suitability & Cross Border UK EMEA based in London. You will report into our UK/EMEA Regional Head for MS&C, and work closely with Products & Services, Suitability & Cross Border UK EMEA.
We form part of our Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of GWM, AM and IB UK EMEA business activity to ensure adherence to a number of key taxonomies (AML KYC, ABC, Products & Services, Suitability & Cross Border, Market Conduct) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks.
We have close and continuous collaboration with GWM, AM and IB business and C&ORC colleagues and we are also involved in implementing departmental projects, including global initiatives.
We form part of our Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of GWM, AM and IB UK EMEA business activity to ensure adherence to a number of key taxonomies (AML KYC, ABC, Products & Services, Suitability & Cross Border, Market Conduct) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks.
We have close and continuous collaboration with GWM, AM and IB business and C&ORC colleagues and we are also involved in implementing departmental projects, including global initiatives.
Your expertise
- expert level understanding of client-related risks and how these impact across one or all business divisions in UK and EMEA
- good understanding or working knowledge of GWM, AM and IB business, processes and risks
- strong experience of working in a SME capacity in WM, AM or IB business, compliance monitoring, risk management, risk control or audit, an understanding of the regulatory environment and expectations and FCA/Mifid II rules and guidance together with other relevant regulations and codes of practice
- solid understanding of monitoring methodologies and 2nd line control performance
- result-oriented and assertive (you don’t shy away from challenging situations).
- able to convey information clearly, accurately and succinctly
- able to show determination, effort and enthusiasm to deliver results within challenging timeframes.
#LI-Hybrid
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?
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?
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.
