Control Room & Advisory Compliance Officer — UBS

Vollständige Beschreibung

Do you know how to keep an eye out for and avoid risk? Do you make sensible calls in challenging situations, including knowing when to escalate? Do you have experience in Control Room and/or Investment Banking and Research Compliance Advisory? We are looking for someone to help:

• provide independent and timely guidance to the UBS Global Research and Banking businesses on issues relating to day to day business, new business initiatives, regulatory developments, interactions with Banking and other parties outside Research;
• maintain the quality of the information barriers applicable to the public and private sides of the bank;
• assess regulatory requirements (e.g., ASIC, APRA, ASX or ACCC) 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 requests 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;
• work with other members of the Compliance and Operational Risk Control team, locally and regionally to support the Compliance Framework;
• respond to regulatory queries; and
• perform local read across thematic reviews and assist with similar global reviews.