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.
Your team You'll be working in the Client Related Business Conduct team (CRBC) which is a part of the UK Monitoring, Surveillance & Control (MS&C) team in London. We form part of the Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of WM, AM and IB UK business activity to ensure adherence to a number of key taxonomies (Suitability, 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. The team has close and continuous collaboration with the WM, AM and IB business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.
Your expertise You have:
a good understanding or working knowledge of Wealth Management, Asset Management and/or Investment Banking business processes and associated risks.
Current experience of working in the WM, AM or IB business, compliance monitoring, risk management, risk control or audit, an understanding of the regulatory environment and expectations and FCA rules and guidance together with other relevant regulations and codes of practice.
Have a pragmatic approach
analytical, with the ability to provide practical and realistic solutions for minimizing risk result-oriented and assertive (you don't shy away from challenging situations).
able to convey information clearly, accurately and succinctly.
able to show determination, effort and enthusiasm to deliver results within challenging timeframes.
a team player and are capable of leading by example.
About us 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?
Join 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.