Province: New South Wales
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Senior Compliance Officer in Sydney, NSW Australia – UBS AG – 8F244A | Recruit.net Australia
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Senior Compliance Officer
UBS AG – Sydney, NSW
3 hours ago from eFinancialCareers
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3 hours ago from eFinancialCareers
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12 month opportunity The successful candidate will be a member of the UBS Australia Compliance & Operational Risk Control regulatory management team responsible for the regulatory management aspects of the compliance program. UBS is one of the world’s leading financial firms, serving a discerning global client base. As an organisation, it combines financial strength with a culture that embraces change. UBS is the world’s largest wealth manager, a top-tier investment banking and securities firm, and a leading global asset manager. The corporate centre supports the 3 businesses offering a wide range of services including IT, Legal, Compliance, Risk and Operations. Compliance & Operational Risk Control’s objective is to help protect the firm’s reputation and facilitate its business activities by providing advice on, and reasonable assurance of, compliance with applicable laws, regulations, rules and corporate policies, and high ethical standards. Compliance achieves these objectives by establishing frameworks and providing the firm with Advice, Education and Monitoring services. Key Responsibilities:- The candidate works closely with each of the Compliance product/specialist compliance officers to ensure that there is a consistent and coordinated delivery of the compliance program. In addition, the candidate works closely with the Legal department, including in areas where legal and compliance input is required, such as regulatory approvals, regulatory investigations, litigation and internal investigations. In particular, the candidate will focus on the following tasks: participates in the transaction and new business approval processes, and where required reviews proposals to identify relevant compliance or regulatory matters; plays a key role in maintaining relationships with relevant regulators (namely ASIC and APRA); oversees the Investment Bank’s compliance with banking regulation and advises senior management in relation to banking regulation; oversees the Investment Bank’s compliance with regulatory and licensing obligations and advises the business and senior management in relation to these obligations; oversees the licensing and banking aspects and supervisory aspects of the cross border framework for cross border business into Australia; plays a key role in working with UBS’s auditors in relation to the audits undertaken of UBS entities; provides advice to product / specialist compliance officers and the business in relation to transactions and advisory compliance matters; manages and where required oversees key projects and initiatives (both local and global) on behalf of the legal and compliance department; assists and where required, oversees regulatory investigations, inspections and other regulatory interaction; assists and where required, oversees internal investigations at the request of management or as required by external parties; assist in driving cross divisional integration, and where necessary assists with cross divisional projects and initiatives. The candidate should have a minimum of 5 years’ experience in dealing with legal, compliance and regulatory matters in the Australian financial services industry, ideally covering Investment Banking. Regulatory management experience is desired. The candidate should have experience in dealing with legal, compliance and regulatory matters in the Australian financial services, and ideally the Investment Banking industry. The candidate must also be confident and able to communicate effectively with both peers and senior management. As part of a strong and professional Compliance & Operational Risk Control team, the role holder should be skilled at building consensus and working with others. What we offer UBS offers talented individuals around the world a challenging, diverse and supportive working environment in which passion, commitment and hard work are valued and rewarded. Why UBS? Watch the video Take the next step Want to further your career in an organization where your contribution can make a difference? Apply now at http://www.ubs.com/careers We look forward to hearing from you. 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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