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 sharp analytic skills and the ability to identify compliance and risk issues? Do you have the passion to resolve issues and provide trusted advice to your business partners and stakeholders?
We are looking for someone a Compliance Officer to join the Asset Management Business Aligned Compliance and Operational Risk Control (C&ORC) team to:
Provide high quality C&ORC advice to Business and Support functions on applicable internal policies, laws and regulations
Provide high level analysis on changes to regulations and provide support to the Business on implementation
Carry out compliance monitoring and perform ad-hoc investigations into matters or issues that are escalated to C&ORC
Be responsible for ongoing review and update of Compliance Manual and key procedure documents
Participate in various local and regional projects
Design and delivery of compliance training and / or materials
This role fits within the Asset Management Compliance & Operational Risk Control (C&ORC) function. As a member of the Singapore AM Business Aligned C&ORC team, the role will be based in Singapore with other C&ORC functions. The Singapore C&ORC team forms part of the Asia Pacific team ultimately reporting to the Regional Head of C&ORC.
At least 6+ years of relevant experience either within a Legal, Compliance, regulatory or audit function pertaining to Asset Management
Working knowledge fund management and securities laws, regulations, directives and expectations
Knowledge of the financial services marketplace and its component parts, across the Retail, Wholesale and Institutional channels
Strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively
Proficient in Microsoft Office including powerpoint, excel and word
Self-motivated, confident, and out-going and enthusiastic in nature, with the ability to act with tenacity and diplomacy
Pragmatic with the ability to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at a sound judegment or decision and providing compelling solutions
Able to prioritize effectively, identify problems and seek practical solutions
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.