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Compliance & Operational Risk Control Officer, Asset Management

London, United Kingdom
Closing date
Dec 10, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Your role
Do you have experience in providing compliance or risk advisory services to a wide range of stakeholders across the business? Are you confident when it comes to speaking up for what is right and challenging at all levels? Do you thrive on being part of a business area that is cutting edge and innovative?

We are looking for a Compliance & Operational Risk Officer like you to:

• assist with leading and coordinating the compliance and operational risk coverage across the EMEA region (including the UK) and interact with global and other regional leads
• support the business across the UK and EMEA in remaining compliant within the regulatory environment and managing their risk
• drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the business in the UK and EMEA
• perform AML / KYC checks on existing and new clients related to products and services offered
• review and approve Gifts and/or Business Entertainment according to UBS Policies
• participate in business initiatives as C&ORC SME;
• work with central Compliance teams on Cross-Border controls and Financial Crime Prevention projects as required
• advise on operational events and/or review Operational Risk Items as an SME Your team
You'll be working as part of our UK Asset Management business-aligned Compliance and Operational Risk Control (C&ORC) team in London. We support our Asset Management UK business as well our wider EMEA business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge.

Our duties include implementing an Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded. You'll play an important role in helping us develop risk mitigating measures, controls and adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the globe.

Your expertise
• experience working across a wide variety of compliance and operational risk topics related to asset managers, including but not limited to product manufacturing, conflicts and conduct related topics and AML/KYC related topics
• strong understanding of regulations impacting the UK and MEEA business (e.g MiFID II, Solvency II, AIFMD, UCITS, MAR/MAD II, SMCR, IFPR, ESG)
• substantial financial services compliance or risk advisory experience, ideally on the buy-side (Real Assets would be a bonus)
• sound know-how of the analysis of business processes
• ability to verify aspects of commercial and operational arrangements and challenge documentation with an independent mindset



About us
UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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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