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.
Do you have a Compliance, Controls, Investigations and/or Audit background with solid experience in the wealth management industry?
Are you able to evaluate, interpret and challenge complex information carefully?
Are you trustworthy in maintaining high business standards, while driving the business forward?
Do you know how to organise and prioritise your work to meet key deadlines?
Are you able to challenge colleagues in a constructive way?
Are you a self-starter within initiative, able to own and drive complex projects, while keeping management informed of regular progress?
Do you have leadership role in supervising/managing a team of 10 staffs?
You'll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organisation (BRO) team. Front Line Support is a dedicated independent team as a 1st line of Defence in the Control Framework to execute ex-post Controls.
As 1st Line of Defence in the Control Framework structure, we execute Controls checks (ex-post) on our Origination Units who are based in Hong Kong, Singapore & Dubai. The Controls are primarily driven by Local Regulators [Monetary of Authority of Singapore (MAS) and Hong Kong Monetary Authority (HKMA)] and also from our Global Head Office.
As a Risk Manager role:
you must be able to identify, gather and analyse trend data to enlist changes in Market's behaviour where feasible enabling the unit to fulfill its principle regulatory requirement; to mitigate potential fraud in Markets and act as an education utility to remind Markets of their requirements when performing requisite callbacks to clients.
To understand the root causes of recent Audit findings within UBS Wealth Management
To perform control reviews in order to assess misconduct cases for escalation to Compliance and/or Group Investigations.
Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. Other review methods may be deployed and may be pre-agreed with supervisor.
Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved
To train/coach new staffs & provide supervision to the team.
Your experience and skills
Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and at least 4 to 8 years of experience working in the wealth management sector
Supervisory experience managing a team 10 staffs or above
Proficiency in Cantonese, besides English and Mandarin as the candidate is required to communicate well with Front Line Staffs based in Hong Kong office as well to perform tape listening
Good knowledge and understanding of issues / challenges facing wealth management business
Good knowledge of wealth management financial products and services
Risk-oriented personality who has the ability to differentiate borderline risk issues from critical fraudulent
Detail oriented, experienced in managing & reducing risk, developed analytical skills, strong listening capabilities
a clear communicator, with exceptional interpersonal skills and a good listening skill
open to continuous learning and continuous education both within the team and with Business Partners and Front Line staffs
proficient in basic Microsoft applications
creative approach to problem solving & challenging existing processes to drive improvements
Proactive, independent, Client-Oriented and well-organised Individual
Internal Number: 6319240
About Hays Malaysia
eFinancialCareers is a career site specializing in financial services.