Wealth Management Compliance Monitoring, Surveillance and Controls
You'll be working in the UK Monitoring, Surveillance & Control (MS&C) team in London. We form part of the Global MS&C team within Compliance & Operational Risk Control (C&ORC).
Our primary role is the monitoring of WM, AM and IB UK business activity to ensure adherence to a number of key taxonomies (Suitability, Cross Border, Market Conduct, Conflicts of Interest,) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS's reputation against legal and regulatory risks. The team has close and continuous collaboration with the WM, AM and IB business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.
• a good understanding or working knowledge of the WM, AM and IB business, processes and risks.
• Current experience of working in the WM, AM or IB business, compliance monitoring, risk management, risk control or audit, an understanding of the regulatory environment and expectations and FCA rules and guidance together with other relevant regulations and codes of practice.
• Have a pragmatic approach and a good understanding of regulations affecting WM, AM and IB business in the UK.
• analytical, with the ability to provide practical and realistic solutions for minimizing risk. 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.
• a team player and are capable of leading by example.
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.
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