CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance and Operational Risk Review Specialist, Wealth Management
August 10, 2019
Are you interested in a broad range of compliance and operational risk topics? Do you have strong analytical skills and attention to detail? Can you collaborate and challenge?
We are looking for a Compliance and Operational Risk Review Specialist to:
prepare reviews and controls testing including sourcing relevant data, risk assessment and discussion with stakeholders on review scope
perform thematic reviews of the effectiveness of operational risk controls in our Wealth Management business
analyze internal operational risk incidents, identify control failures and constructively challenge our control frameworks
collaborate, communicate and build trusted relationships with risk managers across functional areas
You will be part of the Wealth Management-aligned Compliance and Operational Risk Control (C&ORC) team in the Hong Kong office. The purpose of C&ORC is to ensure that all compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite. You will support the team to ensure that the necessary risk frameworks are appropriately designed and operating effectively in Wealth Management.
5+ years of relevant work experience in a Wealth Management, Risk, Compliance or Audit environment
strong analytical skills and the ability to manage complexity through a structured approach
interest in front-to-back processes and risks of our Wealth Management business
the ability to collaborate and provide constructive challenge
excellent communication skills in English along with good interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject
advanced Excel skills in order to perform data analysis and strong Powerpoint skills in order to create management presentations
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
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.
Internal Number: 6285374
eFinancialCareers is a career site specializing in financial services.