Compliance Officer

  • Full Time, Permanent
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  • ubs group posted 2 weeks ago
  • Posted : April 28, 2021 -Accepting applications
  • View(s) 23

Job Detail

  • Gender No Preferences
  • Job Role Others
  • Career Level Qualified Professional - Experienced
  • Functional Area Others
  • Experience

  • Min (Experience) 6
  • Max (Experience) 12
  • Qualifications

  • Graduation Any Graduation
  • Post Graduation Any Post Graduation
  • Walk-In Details

  • Company Details

  • Company Name UBS
  • Company Details
    UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland*. We're a team of more than 66,000 colleagues, collaborating across all major financial centers in 50 countries. We strive for excellence in everything we do, and this has awarded us recognition across our businesses. We offer a collaborative, international and diverse working environment that rewards passion, commitment and success – and are regularly recognized as an attractive employer

Job Description

Your role

•handling of large amounts of diverse data for analysis, reconciliation and reporting purposes
•monitoring and reporting of training obligations as required in various countries
•attention to detail as the role requires to report accurate information on time to business/functions and to identify discrepancies or violations and coordination, compilation and analysis of Key Performance Control reports – KPC reports provide a review of the processes and controls for each function
•presenting the reports and data either through MS PowerPoint or MS Excel to various stakeholders from different functions, ensuring database maintenance, filing and storing methodically
•liaising closely with key Conduct Risk stakeholders, Compliance functions, the business and other control functions, responding timely to communications/queries from critical stakeholders
•identifying and escalating potential issues to relevant stakeholders in a timely and accurate manner, also providing regular updates as per determined schedules
•critically reviewing processes to reduce operational risk and improve process efficiency
•monthly coordination and production of Management Information reports which are used to provide relevant information to internal and external stakeholders

Your team

You will be joining the Education and Training team, which is part of the Group Compliance, Regulatory and Governance (GCRG) function and responsible for training based regulatory reporting in APAC. The team also monitors mandatory trainings and violation issuance across all business divisions.

Your expertise

•an exceptional communicator (oral, written – email communications), you know how to speak with people at all levels of the organization, good at proactively building networks and connections
•excellence in MS Excel (proficiency in Macros a must), PowerPoint and Access
•knowledge of financial products will be an additional advantage
•experience of dealing with, and making sense of, large amounts of data and information
•a process-oriented mindset with a highly keen attention to detail
•experience in a dynamic environment where no two cases are the same
•a team player but can work with minimal supervision and a believer of working with integrity
•known for meeting deadlines and able to identify the gaps and has attitude of attention to detail

Required skills