Canada IB Chief Compliance and AML Officer — UBS

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Are you interested in developing and driving solutions that advance UBS’s strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking? As the Chief Compliance Officer and Chief Anti Money Laundering Officer, you will oversee and lead the Compliance function for UBS Securities Canada Inc. and perform the following:

• partner with legal counsel to ensure that policies, guidelines, standards and Compliance monitoring and testing procedures and business procedures are consistent with local regulatory requirements and interpretations of laws, regulations, rules or any other related industry regulatory standards or guidelines
• liaise with senior management as well as functional leaders in compliance, legal, risk, and IT to provide subject-matter expertise on existing, new, or updated laws, rules, and regulations as well as effective challenge, guidance, and advice
• participate in relevant Committees as well as various other global, regional, and cross-product committees
• draft and publish policies and procedures and maintain a local compliance training program
• participate and provide support in regulatory exams and inquiries
• complete Compliance Risk Assessments and thematic reviews to assess emerging risk themes
• running the IB Financial Crime Prevention (FCP) function for the Canadian IB Legal entities (working with FCP team members in Canada in the United States, and globally as applicable).
• acting as the local Money Laundering Reporting Officer / Chief AML Officer for the IB Canadian Entities – key duties will be: (i) Local Board Reporting on FCP Matters; (ii) contributing to the FCP Global Risk Assessment (which involves completing local Canadian Questionnaires annually); (iii) Owning and overseeing any local IB Canada specific compliance and AML/KYC policies, procedures and protocols (as well as any KPC attestations that relate to these local policies, procedures, protocols) to ensure they meet current regulatory expectations and are aligned with enterprise-wide standards.
• being the focal point for any GIA / Regulatory compliance exams (inclusive of AML / FCP exams) and interacting with provincial and federal regulators, including regulatory filings as applicable.
• implementing the IB FCP Framework of UBS' global IB Division, and ensuring compliance, operational and FCP risks are identified, properly assessed and managed.
• provide strategic direction and oversight to the IB / stakeholders in relation to IB FCP deliverables and initiatives (taking into account applicable : (i) legislation, (ii) rules and guidance, (iii) industry best practice).