Compliance Monitoring Associate

  • Contractor
  • St. Helier, Jersey
  • TBD USD / Year
  • UBS profile




  • Job applications may no longer being accepted for this opportunity.


UBS

Job Reference #
260199BR

Job Type
Full Time

Your role
We are looking for a Compliance Monitoring Associate like you to:

  • deliver our Jersey Bank and Trust Company compliance monitoring and surveillance program by performing second-line-of-defense reviews to assess controls and provide assurance that controls are operating effectively in relation to consequential risks across a number of key taxonomies (Suitability, AML, Cross Border, Market Conduct, Conflicts of Interest)
  • distil concerns or issues identified from reviews and report these findings to management with recommended actions to address deficiencies
  • implement changes as a result of monitoring findings to enhancing controls, test procedures and processes
  • promote the benefits of “good compliance” and add value by suggesting business practice improvements
  • pro-actively contribute to the assessment of business risks and leveraging management information to identify key business risks and emerging trends both within across business divisions
  • collaborate with compliance colleagues involved in implementing strategic departmental projects
  • support MS&C team lead on implementation and delivery of ad-hoc project work
  • represent our team at various risk committees at regional level
  • manage relationships with stakeholders in our Jersey Bank and Trust company businesses

Your team
You’ll be working in our Client Related Business Conduct team (CRBC) in Jersey, which is a part of our broader UK Monitoring, Surveillance & Control (MS&C) team in London. We form part of Global MS&C within Group Compliance, Regulatory & Governance (GCRG).

Our primary role is the monitoring of WM, AM, IB in the UK and Jersey Bank and Trust company business activity to ensure adherence to a number of key taxonomies (Suitability, AML, Cross Border, Market Conduct, Conflicts of Interest) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks.

We have close collaboration with Jersey, WM, AM, IB (UK) businesses and C&ORC colleagues and we are also involved in implementing departmental projects projects, including global initiatives.

Your expertise

  • a good understanding or working knowledge of Jersey Bank and/or Trust company business processes and risks.
  • experience of working in Jersey Bank business and/or Trust company business or in compliance monitoring, risk management, risk control or audit, an understanding of the regulatory environment and expectations along with JFSC rules and guidance and other relevant regulations and codes of practice.
  • analytical skills, with the ability to provide practical and realistic solutions for minimizing risk
  • able to show determination, effort and enthusiasm to deliver results within challenging timeframes
  • a team player and capable of leading by example

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.

To apply for this job please visit jobs.ubs.com.


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