at UBS
Bulge Bracket Investment BanksPosted 19 days ago
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**Supervisory Officer, UBS Wealth Advice Center:** Drive UBS Investment Bank's global markets compliance in Japan. Key responsibilities include supporting daily business activities, ensuring conduct standards, guiding on regulations, collaborating with teams, and contributing to policy development. Required skills: strong compliance knowledge, regulatory understanding, stakeholder management, and risk assessment. Minimum 3-5 years' experience in compliance or relevant field. Keywords: Global Markets, compliance, regulatory, UBS, Japan, policies, risk assessment, stakeholder management, cross-functional collaboration.
- Compensation
- Not specified
- City
- Not specified
- Country
- Japan
Currency: Not specified
Full Job Description
| In your role, youll: Support day to day Global Markets business activities within UBS Investment Bank in Japan Comprehensively cover Global Markets Sales & Trading and work closely with COO Help ensure that Global Markets employees meet UBSs global standards and Japans regulatory requirements in both Market Conduct and Employee Conduct Provide guidance on regulatory requirements and internal policies Liaise with Front Office and senior management to deliver effective challenge and advice Assist in conducting compliance risk assessments and thematic reviews, while watching regulatory changes Participate in regulatory inquiries and support interactions with the Financial Services Agency and other regulators Contribute to drafting and maintaining policies and procedures relevant to the Japan Global Markets business Support the delivery of compliance training tailored to local business needs Collaborate with global and regional compliance teams to ensure consistent standards and practices Work closely with various compliance teams globally and locally including Central Compliance, Control Room, Monitoring, Financial Crime Prevention, and Employee Conflict of Interestto ensure a coordinated and integrated approach to compliance, avoiding silos, meeting the businesss expectations, and achieving shared goals effectively This is a great opportunity for a junior professional to join a dynamic team and develop expertise in compliance. If you are an entrance level applicant, no worries, you will receive support from senior colleagues seating next to you. | Show more Business Aligned Compliance Officer - Global Markets |
