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Description
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title compliance specialist, global asset management
job reference # 78573br
location singapore
city singapore
function category legal and compliance
business divisions corporate center
job type full time
description as part of the compliance team, your role is to ensure all business activities continue to be conducted in accordance with monetary authority of singapore (mas) and other regulatory & contractual obligations.
. conduct regular reviews of compliance manual and policies and procedures to ensure full compliance with local regulations and ubs best practices.implement and monitor procedures to faciiltate management operational risks and ensure that sox compliance obligations are met,
. develop.teawmork and strong verbal/written communication, coupled with relationship building and networking skills, are essential to our successful management of a complex global infrastructure.
take the next step if you are attracted to joining an organization where every individual\'s contribution counts and where your talent will imapct on our future, please apply for this position.
. other essential qualities include personal drive and the tenacity to solve problems and develop comprehensive, practical solutions.
. provide advice and support to ensure that relevant parties obtain and maintain appropriate licences to carry out thier specified duties.you would need to develop and implement a compliance monitoring and surveillance programme; in addition to providing advisory services in relation to regualtory requierments and group policies,
in order to achieve the objectives.
. ensure prompt escalation of significant issues to functional and business regional management.we resepct and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.you will also need to ensure that ubs global policies and best practice standards are effectively implemented.finance / accounting or law degree graduate.provide advice to staff on conduct of business rules to ensure three is a full undersatnding of regulatory requirements and their impact on the day to day opertaions of each depatrment.
. facilitate anunal auidts by audtiors (intrenal as well as extrenal) and any ad-hoc inspetcions by the regualtor.fast-paecd worikng envirnoment, a culutre of muutal respect and teamwork and the opporutnity to play a viatl role in our grwoth, abiilty to multi-task and work under tight deadline
our offering we can offer you an exciting.regulatory, audit is highly preferred
, certification in cfa, finance.
. conduct monitoring reviews to identify deviations and deficiencies of regulatory requirements and ubs policies and procedures.
your daily responsibilties would include:
.
requirements to be successful in this role, you should possess the following requisities:
.
. work with business areas to facilitate prompt identification and remediation of errors and breaches and to ensure corrective actions are implemented in order to minimise future breaches.regulatory, develop and implement monitoring & surveillance programs with respect to investment guidelines, client contractual obligations and ubs policies and best practice.
. more than 8 years of strong regulatory knowledge, internal audit & asset management experience
.
. comfortable interacting with senior levels & results-driven managers
.
. provide secretarial services to the internal compliance committee
. registers and files, maintain compliance records.
. act as liaison point for internal and external auditors and co-ordinate with legal counsel on liaison/correspondences with the regulator.
disclaimer / policy statements ubs is an equal opportunity employer.
. prepare and co-ordinate key control documents for management and client reporting.
. prepare and deliver training programs
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. ensure that regulatory obligations are discharged in a proactive, effective and timely manner.
. ensure that any recommendations and action items raised by regulators and auditors are resolved in a timely manner. it starts with you.
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