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Senior Compliance Officer role at UBS Securities China – Shanghai.
Lead regulatory compliance for global markets, brokerages, and derivatives in Mainland China.
Title: Compliance Officer
Location: Shanghai, Mainland China
Description: Your role
Your role
Do you have extensive experience in regulatory compliance within the securities industry and a deep understanding of the Chinese regulatory framework? Are you a senior compliance person with the confidence to provide challenge and to engage effectively with regulators, related business and functional departments? We are looking for a Business Aligned Compliance Officer for Global Markets (GM) business (including brokerage, margin financing, distribution of financial products and derivatives) for UBS Securities China ("UBSS") to:
- track changes in laws and regulations, conduct gap analysis and ensure effective implementation of new requirements
- conduct compliance reviews for new business, new product, and business development activities
- provide compliance advice for the daily GM business operations and management activities
- establish and optimize compliance monitoring mechanisms, continuously identifying, assessing, and managing the related regulatory risks
- establish and update relevant compliance policies and operational procedures
- investigate, assess, handle, and report GM related compliance risk events, and ensure appropriate remediation is carried out
- communicate with relevant regulatory agencies, provide compliance support for regulatory inquiries, interprets regulatory requirements for stakeholders, and facilitate internal audits and external regulatory inspections
- design and organize relevant compliance training to enhance business' compliance awareness and risk management capabilities
Join us
At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
Contact Details
UBS Business Solutions SA
UBS Recruiting
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.
Your team
This is a senior compliance officer reporting to the Head of Compliance, and will work closely with the relevant business, risk, legal, and group compliance teams to meet regulatory requirements and the Group’s expectations
Your expertise
- extensive senior‑level experience in compliance gained with a comparable regulated financial services institution; global financial institution experience is preferred
- demonstrate integrity and strong professional ethics
- thorough understanding of PRC, CSRC and self-regulatory securities laws, rules, and regulations
- possess securities and funds practitioner qualification
- team player with excellent communication and coordination ability
- strong ability to interpret complex regulatory requirements and apply them to business activities
- experience interacting with regulators and managing regulatory inspections and examinations
- strong analytical ability, independent mindset, sound judgment, resilience, and the confidence to challenge at all levels. Able to adapt to high-intensity, fast-paced work environment and perform all duties independently
- fluent in Chinese and English, both written and spoken
About us
UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe. We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers .
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback .