Are you risk averse but risk aware? Do specialize in Global Markets (Fixed Income and Equities) Compliance Advisory? We are looking for a Compliance Officer to:
• provide independent and timely guidance to the business and other functions on all
issues relating to day to day business, new business initiatives, regulatory developments and transactions
undertaken by clients
• assess regulatory requirements (e.g.: MAS, SGX) to ensure compliance risks are
identified, reported and tracked to their resolution
• analyse processes and systems and provide guidance to relevant stakeholders on the implementation
of improved solutions that support business and mitigate compliance risk
• liaise with internal auditors on various request in relation to compliance matters
• draft and deliver face to face training to the business
• review manuals and compliance notices to ensure they are properly revised or updated where necessary
• draft new manuals, Compliance Notices, policies
and procedures in light of regulatory amendments and/or business changes
You’ll be working in the Global Markets Compliance &
Operational Risk Control (C&ORC) team in Singapore reporting directly to the
Our role is to provide high quality and professional compliance services in support of the UBS IB Global Markets business activities. This role will cover all aspects of general compliance duties aligned to Global Markets business.
We help, for example, by reviewing marketing materials, reviewing and approving complex transactions, reviewing sales and trading commentary, client specific requests. We keep the business up to date on regulatory and internal UBS requirements and assess the suitability of the investment products being proposed to our
• at least 6 years in a relevant compliance/regulatory environment
• sound know-how of the Investment Bank and Global Markets business and products, this includes Fixed Income and Equities products
• sounds understanding of applicable MAS rules and regulations. It would be beneficial to have an understanding of FINMA and MiFID Regulations given that UBS is a Swiss bank and has a large footprint in Europe
• good communication and interpersonal skills
• have the ability to think out of the box and challenge the status quo to ensure that there is always room for improvement
• able to critically assess and challenge documentation with an independent mindset
• reliable, resilient and capable of independently dealing with business desk heads and key stakeholders (challenging situations and conversations don’t scare
• fluent in English
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
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.