Investor Protection
Role overview
Main Responsibilities The UK Regulatory Compliance Team is primarily responsible for providing timely, risk-based advice, challenge, and enablement to the business on regulatory matters. The Investor Protection Compliance team sits within UK Regulatory Compliance and assists in managing compliance risk across UBP UK, contributing to regulatory change implementation, and helping to maintain effective policies, training, and governance in line with UK requirements and UBP standards relating to investor and client protection. Investor Protection Compliance ensure investors and clients are treated fairly and transparently, topics include but are not limited to; disclosures, suitability & appropriateness, conflicts of interest, complaints handling, marketing and client communications, vulnerable customers, responsible lending, product governance and best execution.
The role holder is responsible for: supporting the team in fulfilling the responsibilities set out above.
supporting the team and assisting in the management of compliance risk across UBP UK’s business. In providing advisory support, the role holder will liaise with colleagues in the UK Regulatory Compliance team, Financial Crime and overseas offices as appropriate to ensure local regulations and wider department processes are considered.
Description
Main Responsibilities The UK Regulatory Compliance Team is primarily responsible for providing timely, risk-based advice, challenge, and enablement to the business on regulatory matters. The Investor Protection Compliance team sits within UK Regulatory Compliance and assists in managing compliance risk across UBP UK, contributing to regulatory change implementation, and helping to maintain effective policies, training, and governance in line with UK requirements and UBP standards relating to investor and client protection. Investor Protection Compliance ensure investors and clients are treated fairly and transparently, topics include but are not limited to; disclosures, suitability & appropriateness, conflicts of interest, complaints handling, marketing and client communications, vulnerable customers, responsible lending, product governance and best execution.
The role holder is responsible for: supporting the team in fulfilling the responsibilities set out above.
supporting the team and assisting in the management of compliance risk across UBP UK’s business. In providing advisory support, the role holder will liaise with colleagues in the UK Regulatory Compliance team, Financial Crime and overseas offices as appropriate to ensure local regulations and wider department processes are considered.