at UBS
Bulge Bracket Investment BanksPosted 2 months ago
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Provides independent, timely compliance guidance to the business on day-to-day operations, new initiatives, regulatory developments and client transactions. Assesses regulatory requirements (e.g. ASIC/ASX/Cboe), identifies and tracks compliance risks, liaises with auditors, and responds to regulatory queries. Analyzes processes and systems and drafts or updates manuals, compliance notices, policies, procedures and training to mitigate compliance risk. Collaborates with local and regional Compliance and Operational Risk Control teams and supports thematic and global reviews.
- Compensation
- Not specified
- City
- Sydney
- Country
- Australia
Currency: Not specified
Full Job Description
| 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 specialize in Global Markets Compliance Advisory? We are looking for someone to help: provide independent and timely guidance to the business and other functions on all issues relating to day to day business, new business initiatives, regulatory developments and transactions undertaken by clients • assess regulatory requirements (e.g.: ASIC / ASX / Cboe) 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 • Perform local read across thematic reviews and assist with similar global review | Show more Business Aligned Compliance & Operational Risk Officer |
