Compliance Officer, Asset Management
UBS
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
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
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